The Assets: Estate planning

Tighter Restrictions Proposed for Brokers Acting as Beneficiaries or Trustees

November 22, 2019No Comments

Finra worries such relationships of trust may present significant conflicts of interest.

Finra Wants to Curtail Brokers From Becoming a Client’s Beneficiary, Executor or Trustee

October 4, 2019No Comments

The SRO will be issuing a regulatory notice to solicit comment on this new rule proposal.

Most Americans Working with FAs Haven’t Discussed Estate Goals

September 18, 2019No Comments

And three-quarters of Americans haven’t even designated beneficiaries for all of their accounts.

Here’s How You Win Hundreds of Prospective Tech Millionaires From the Wall Street Firms

May 31, 2019No Comments

There are about to be hundreds of tech multi-millionaires ripe for the picking as major IPOs loom.

Senators Urge Finra to Bar FAs from Receiving Client Inheritance

May 22, 2019No Comments

Four U.S. senators say such inheritance bequests are conflicts of interest.

Merrill Lynch Let a Client Change a Beneficiary from the Grave, Plaintiffs Alleged

April 25, 2019No Comments

Can the dead change their beneficiaries?

How to Add Value -- and Keep Clients -- During Intergenerational Wealth Transfers

April 3, 2019No Comments

Spend as much time as you can addressing this topic with your clients.

Follow These Signs to Avoid Picking the Wrong Trust Provider

February 6, 2019No Comments

Advice firms should be wary of trust service providers doubling as asset managers, among other signs.

Why FAs Piled into ETFs Last Year and Will Further the Trend in 2019

February 5, 2019No Comments

ETF investments are increasingly being used in client portfolios, and experts say their growth may continue for the foreseeable future.

Ric Edelman To Advisors: Have the Death Talk with Clients Now

December 20, 2018No Comments

Telling clients about the implications of inaction often encourages them to engage proactively in the estate planning process, he says.