Morgan Stanley had gone to the Second Circuit Court of Appeals to fight a lower court's finding that its deferred compensation policies fall under federal retirement law.
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An SEC rule that would increase requirements for companies to disclose their emissions was paused following a lawsuit this spring.
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An advisor in Los Angeles wants to help his clients with their estate planning, which requires thinking about death. How can he broach the subject without scaring them?
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The latest legal challenge to the firm's "cash sweeps" policies argues advisors violated their fiduciary duties by not procuring higher yields for clients.
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In this month's FACO, we asked how much time advisors spent on their firm's brands, what their marketing objectives were and their main sources of new clients.
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Nearly two-thirds of advisors surveyed this month said that internal training programs or workshops were offered by their firms.
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Across the industry, financial advisors are anticipating a busy 2026. From consumer protection cuts to AI regulation, wealth management could look very different a year from now.
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Many advisors haven't yet begun putting together an exit plan. Experts say there are common features and defined timelines that can help make it work.
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Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.
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After the divorce, I was broke and in debt. Then my husband sued me.
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The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.
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An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.
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An annual RIA compensation survey suggests that firms are paying a pretty penny for financial advisors — but reaping healthy profits.
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As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.
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