Find the latest industry news below.

  • 5 Trends Defining Success in the Life and Annuity Industries
    on September 25, 2023 at 6:40 am

    A consultant reads you in on what he's telling the insurers.      Related StoriesYes, Homeowners Insurance Is Your Concern - EnclosureMet a Possible Prospect? Meet Again. - EnclosureT-Bills vs. Treasury Bonds: Which Should You Pick When the Yield Curve Inverts? - Enclosure 

  • Medicare's Chief Actuary Grades a Proposal to Hike Taxes on the Wealthy
    on September 24, 2023 at 5:00 am

    A bill expandiing the Net Investment Income Tax could keep Medicare solvent for 75 years, Paul Spitalnic predicts.      Related StoriesMany High-Income Medicare Enrollees Struggle, Too: Survey - EnclosureSEC Hits Wisconsin BD With Reg BI Fine - EnclosureGoldman Sent Inaccurate Data to the SEC on 163M Trades - Enclosure 

  • 7 Social Security and Medicare Quirks That Trip Up Advisors
    on September 22, 2023 at 8:26 pm

    The two programs can interact in surprising ways, retirement consultant Marcia Mantell says.      Related Stories12 New Medicare Bills to Watch This Fall - Enclosure5 Broker Behaviors That Should Raise a Red Flag - EnclosureMany High-Income Medicare Enrollees Struggle, Too: Survey - Enclosure 

  • Cetera Names New Head of Indie Advisor Channel
    on September 22, 2023 at 8:12 pm

    Tom Halloran, Cetera Wealth Partners president, will replace Brett Harrison, who is leaving after over 25 years.      Related StoriesSEC Hits Wisconsin BD With Reg BI Fine - EnclosureGoldman Sent Inaccurate Data to the SEC on 163M Trades - EnclosurePrivate Equity-Backed Insurance Distributors Are Still Shopping - Enclosure 

  • Vanguard to Launch 2 New Active Bond ETFs
    on September 22, 2023 at 8:00 pm

    The ETFs should provide investors with broadly diversified, single-fund fixed-income holdings, Vanguard said.      Related StoriesBlackRock Launches TIPS ETF Suite - EnclosureJeffrey Gundlach Fires Back After Bill Gross Says He's No 'Bond King' - EnclosureSEC Hits Wisconsin BD With Reg BI Fine - Enclosure 

  • What to Expect in Markets for the Rest of 2023
    on September 22, 2023 at 7:26 pm

    Here's where we see buying opportunities as the last quarter of the year approaches.      Related StoriesYes, Homeowners Insurance Is Your Concern - EnclosureBlackRock Launches TIPS ETF Suite - Enclosure12 New Stats on Where Americans Stand on Retirement Now - Enclosure 

  • Altruist Ends Portfolio Software Fee for Advisors
    on September 22, 2023 at 7:15 pm

    The custodian had been charging a monthly portfolio accounting fee of $1 per brokerage account.      Related StoriesSEC Hits Wisconsin BD With Reg BI Fine - EnclosureGoldman Sent Inaccurate Data to the SEC on 163M Trades - EnclosurePrivate Equity-Backed Insurance Distributors Are Still Shopping - Enclosure 

  • 15 Best Cities for Financial Security in Retirement
    on September 22, 2023 at 6:42 pm

    Older adults in these cities experience less poverty and higher rates of homeownership, according to SmartAsset.      Related Stories12 New Stats on Where Americans Stand on Retirement Now - Enclosure12 New Medicare Bills to Watch This Fall - Enclosure5 Broker Behaviors That Should Raise a Red Flag - Enclosure 

  • TD Ameritrade Sued Again Over MOVEit Data Breach
    on September 22, 2023 at 6:23 pm

    The brokerage was negligent in using the MOVEit software despite security vulnerabilities, the plaintiff argues.      Related StoriesSEC Hits Wisconsin BD With Reg BI Fine - EnclosureGoldman Sent Inaccurate Data to the SEC on 163M Trades - EnclosurePrivate Equity-Backed Insurance Distributors Are Still Shopping - Enclosure 

  • SEC Hits Wisconsin BD With Reg BI Fine
    on September 22, 2023 at 4:14 pm

    The firm's policies and procedures contained Reg BI language but weren't tailored to its business, the SEC said.      Related StoriesGoldman Sent Inaccurate Data to the SEC on 163M Trades - EnclosurePrivate Equity-Backed Insurance Distributors Are Still Shopping - EnclosureMany High-Income Medicare Enrollees Struggle, Too: Survey - Enclosure 

  • Goldman Sent Inaccurate Data to the SEC on 163M Trades
    on September 22, 2023 at 3:28 pm

    The bank agreed to pay a $6 million fine.      Related Stories5 Broker Behaviors That Should Raise a Red Flag - EnclosurePrivate Equity-Backed Insurance Distributors Are Still Shopping - EnclosureMany High-Income Medicare Enrollees Struggle, Too: Survey - Enclosure 

  • 5 Broker Behaviors That Should Raise a Red Flag
    on September 22, 2023 at 2:34 pm

    FINRA is warning investors to be wary of certain behaviors by their brokers that can signal likely misconduct.      Related Stories12 New Stats on Where Americans Stand on Retirement Now - Enclosure12 New Medicare Bills to Watch This Fall - Enclosure8 Factors That Influence When Clients Should Claim Social Security - Enclosure 

  • 10 Insurance Sales Success Strategies
    on September 22, 2023 at 6:15 am

    There are all sorts of new tricks, and then there are the techniques that work.      Related StoriesYes, Homeowners Insurance Is Your Concern - EnclosureMet a Possible Prospect? Meet Again. - Enclosure10 States Where Annuity Sales Rules Still Look Different - Enclosure 

  • Yes, Homeowners Insurance Is Your Concern
    on September 22, 2023 at 5:41 am

    For many high-net-worth clients, this has suddenly become the top financial headache.      Related StoriesMany High-Income Medicare Enrollees Struggle, Too: Survey - Enclosure12 New Stats on Where Americans Stand on Retirement Now - Enclosure12 New Medicare Bills to Watch This Fall - Enclosure 

  • What 7 Advisors Are Saying About 60/40 Portfolios, Tech Stocks Now: Advisors' Advice
    on September 21, 2023 at 9:40 pm

    As balanced portfolios have bounced back, here's what advisors are telling their clients.      Related StoriesGundlach's 5 Top Economic Predictions for 2023 and Beyond - EnclosureBob Doll: Stock Market Upside Likely Limited - Enclosure10 Cheap Stocks With Reliable Dividends: Morningstar - Enclosure