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Janet Levaux
5 brokers who crossed FINRA in Q4
Article posted by Janet Levaux
In the quarter ended Dec. 31, several advisors were fined $5,000 or more in cases involving outside activities, personal email, and bad behavior that involved everything from using fake names for credit cards to lying under oath.
Danielle Andrus
3 wishes 401(k) participants want advisors to grant in 2017
Article posted by Danielle Andrus
As we head into the new year, retirement plan advisors should make sure they’re providing investors the service they need
Mike McGlothlin
Industry Changes in 2017 and beyond
Article posted by Mike McGlothlin CFP®, CLU, ChFC, LUTCF
Regulation is only a small percentage of the changes that likely will force us to change our practices—and for the better
Marlene Satter
How claiming benefits can greatly affect Social Security value for couples
Article posted by Marlene Y. Satter
Social Security can be worth more—a lot more, and not just for you but for your spouse—depending on when and how you claim benefits. It can also cost you both.
Marlene Satter
7 top workplace benefit trends for 2017
Article posted by Marlene Y. Satter
Retirement, and the retirement plan industry, are both in flux, as workers struggle to save enough, employers look for ways to make them more successful at doing so and regulations change the way retirement plans and advisors work.
William Byrnes
State crackdown on annuities sharpens suitability issues for advisors
Article posted by William H. Byrnes, Esq.
Newly issued New York regulatory guidance highlights the fact that explaining the variations between different types of immediate and deferred annuities can prove challenging for even the most experienced advisor.
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Nick Thornton
Bill to delay fiduciary rule not expected to get immediate attention
Article posted by Nick Thornton
Industry stakeholders would be wise to temper hopes that introduced legislation to delay implementation of the Labor Department’s fiduciary rule will be addressed quickly, according to one veteran industry advocate.
William Byrnes
Trump tax reform may prompt changes in clients' 401(k) strategies
Article posted by William H. Byrnes, Esq.
Trump Tax Reform May Prompt Changes in Clients’ 401(k) Strategies

The beginning of the Trump presidency is right around the corner—and, for many high-income clients, this new era is expected to bring about substantially reduced income tax rates. While this reduction in income tax rates will likely come as a welcome change, it also adds a new layer of complexity to retirement income planning
Sean A. Ruggiero, CEP RICP
Why agents need inbound marketing
Article posted by Sean Ruggiero
Ideas to establish an effective inbound marketing program
William Byrnes
State crackdown on annuities sharpens suitability issues for advisors
Article posted by William H. Byrnes, Esq.
Newly issued New York regulatory guidance highlights the fact that explaining the variations between different types of immediate and deferred annuities can prove challenging for even the most experienced advisor.
Melanie Waddell
DOL Fiduciary Rule could be halted 'within days' of inauguration
Article posted by Melanie Waddell
The Department of Labor’s fiduciary rule could be delayed “within days” of the new administration through action taken by Labor, instructions from the White House, or pending court cases.
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