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December 20, 2013
 
 
 
Top Stories
 
The War Over Financial Reform Needs to End
by BARBARA REHM
 
In her final column for American Banker, Editor-at-Large Barbara Rehm says there is no denying the system is safer than it was in 2007, and while further changes may be needed, it makes sense to "take a breather."
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Senators Question FINRA Broker Records Removal
by KENNETH CORBIN
 
Lawmakers this week called on FINRA to explain its policies for expunging investor complaints about brokers from the public record, suggesting that the industry regulator should revisit the extent to which information is removed from the BrokerCheck database.
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HD Vest Portfolio Tool Surpasses $700M AUM in First Year
by ANN MARSH
 
The portfolio management tool has been a key selling point as the rapidly growing tax-focused independent broker-dealer continues to attract tax specialists to its network of nearly 5,000 advisors.
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LPL Promotes Bill Chetney to President of Retirement Partners
by ANN MARSH
 
LPL Financial is promoting one of its own. Bill Chetney is slated to become president of LPL Retirement Partners, where he currently serves as executive vice president.
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Top Lying Myths
 
Top Lying Myths
by NO AUTHOR
 
You probably think you can spot a liar. In fact, as an advisor, you may consider this innate ability one of your professional attributes. But Maria Hartwig, associate professor of psychology at the John Jay College of Criminal Justice in New York, says there is no relationship whatsoever between "giveaways," such as someone who won't look you in the eye, appears nervous, fidgets or contradicts himself, and not telling the truth.
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How Can Advisors Detect Lying Clients?
 
How Can Advisors Detect Lying Clients?
by NO AUTHOR
 
Many of the methods commonly used to tell if someone is lying don't actually work, says Jason Voss of the CFA Institute. Here are some techniques to help financial professionals improve their ability to detect deception.
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Wealthy Clients With Young Kids: What Advisors Should Know
by STACEY HAEFELE
 
Wealthy investors with young children share a number of key characteristics, needs and values that set them apart. Make sure you understand them.
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IRS Provides Guidance on In-Plan Roth IRA Rollovers
by MICHAEL COHN
 
The IRS has issued guidance on rollovers within a retirement plan to designated Roth IRAs in the same plan.
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SLIDESHOWS
 
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6 Big Tech Trends for 2014
 
Data from this year's Financial Planning Tech Survey tells us what's been going on this past year, but it doesn't tell you what's going to happen next year. Here are a few modest technology predictions for 2014.
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White Papers
 
Charles Schwab Investment Management's EQUITY OUTLOOK 2014:
 
Following record highs for many broad-market stock indexes in 2013, Charles Schwab Investment Management believes the bull market can continue into the new year.
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Leveraging Service Providers: Making 401(k) Business Scalable and Profitable
 
Download a new white paper by Guardian Retirement Solutions™ and Jason Roberts, CEO of The Pension Resource Institute to learn how you can more easily and effectively grow your 401(k) business.
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Web Seminars
 
Retirement Planning: targeting clients cash needs in retirement
 
Retirement portfolios are more focused on income than ever before.
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Incorporating Alternatives Into Client Portfolios
 
If you're seeking ways to employ alternatives to diversify your clients' portfolios, increase their return potential, and provide a hedge against rising inflation, view this informative web seminar now available on demand.
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