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October 30, 2014

Finra Hands UBS an Unusual Split Decision
Panel says the firm hurt an advisor’s business, but the FA still owes.
LPL, NFP Sharpen Retirement-Plan Tools
Scorecard systems to help advisors pick 401(k) funds get more customized.
Tread Carefully With Annuities in 401(k)s
Regulators’ approval has advisors wondering about next steps.
Passive Funds Aren’t Popular for the Reasons You Think
Advisor fees and style constraints add to an evolving narrative.
Opinion
Three Ways to Put a Little Extra in Clients’ Wallets
Saving money makes them almost as happy as making it.

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