Updated Thursday, September 18, 2014 as of 3:42 PM ET

Practice

The Securities and Exchange Commission will probably use emergency court action to stop state and local governments from selling municipal bonds if it thinks their offerings are fraudulent, an enforcement division official told bond lawyers meeting here.  More »
As competition for talent increases, the best way for RIA firms to hold onto top-tier employees is to make it worth their while. Schwab's 2014 RIA Benchmarking Study highlights three major steps toward building a good compensation plan.  read more »
Many U.S. households are not adequately prepared for retirement, according to a new report from the Federal Reserve that found 31% of non-retired respondents indicating they have no retirement savings or pension, including 19% of those ages 55 to 64.  read more »
Wall Street veteran Sallie Krawcheck is putting her name behind a new index fund that before its re-launch suffered dismal long-term performance. Will advisors be interested?  read more »
Community banks and credit unions need to recognize and tout the distinct advantages they offer advisors as they compete with bigger financial institutions for top talent, says Frank Smith, vice president of Recruitment at LPL Financial Institution Services.  read more »
The Securities and Exchange Commission will probably use emergency court action to stop state and local governments from selling municipal bonds if it thinks their offerings are fraudulent, an enforcement division official told bond lawyers meeting here.  read more »
The final IRS longevity annuity regulations create an important option for retirees with 401(k), 403(b), 457(b) or IRA accounts who are worried about outliving their assets. Here's what advisors should know about qualified longevity annuity contracts.  read more »
David DeVoe
Discounted cash flow is the most important valuation method financial advisors can use, according to strategic consultant David DeVoe.  read more »
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October 27, 2014 | The Mandarin Oriental, Boston

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