Most Clicked FSI NewsBrief Stories


1. Getting a career off to a good start

FSI NewsBrief | May 27, 2015

When advisors start their careers, many run into unexpected challenges, prompting some to exit the industry quickly. New advisors discuss surprises they have faced, errors made and lessons learned. The Wall Street Journal (tiered subscription model) (05/26)


2. SEC proposes expanded disclosure from advisors

FSI NewsBrief | May 21, 2015

A Securities and Exchange Commission proposal would require disclosure of more information on Form ADV, which is used for advisor registration. Additional data on use of separately managed accounts would be required, and advisors would for the first time have to list social media accounts. ThinkAdvisor (05/20) InvestmentNews (free registration) (05/20)


3. Debate: Just how expensive are equities now?

FSI NewsBrief | May 26, 2015

Brad Zigler takes a look at various measures of stock market valuations, concluding that the market may not be as overpriced as some think. While equities "aren't the screaming bargains they once were, the odds still favor more upside than downside," he writes. WealthManagement.com (U.S.) (05/22)


4. Commentary: Costs high for Labor's fiduciary rule

FSI NewsBrief | May 22, 2015

While the benefits of a Department of Labor fiduciary rule for financial advisors might be small, the costs are not, writes Douglas Holtz-Eakin, president of the American Action Forum. About 20,000 small brokerage firms could incur costs of as much as $242,000, which is the cost of hiring two or three employees. Forbes (05/21)


5. Advisors add tax experts for portfolio management

FSI NewsBrief | May 22, 2015

Financial advisors are taking note of the effect of taxes on portfolios after years of rising stock and bond prices and are hiring tax specialists to fine-tune portfolio management, Matthias Rieker writes. The Wall Street Journal (tiered subscription model) (05/20)


6. When should retirees sell their home?

FSI NewsBrief | May 21, 2015

Many retirees have a substantial portion of their wealth tied up in their homes. Determining "the need to sell your home and downsize as a means to save money or reduce risk is an assessment that should be incorporated into your financial planning as early as possible," writes Robert Stammers. MarketWatch (05/20)


7. Opportunity emerges for advisors via IRS requirement

FSI NewsBrief | May 26, 2015

The IRS requires employers that sponsor defined-contribution plans to restate documents by April 30. That creates an opportunity for advisors to connect with employers to study plan effectiveness. InvestmentNews (free registration) (05/22)


8. Research gauges investors' financial knowledge

FSI NewsBrief | May 21, 2015

About a quarter of people think they know more than they do about financial matters, according to a survey by the National Association of Retirement Plan Participants. Another quarter of respondents underestimate their knowledge. The remaining participants have a realistic assessment of their knowledge. The Washington Post (tiered subscription model) (05/20)


9. Reasons dividend-paying stocks might be a great idea

FSI NewsBrief | May 26, 2015

With stocks appearing pricey to many, high-yield stocks may emerge as a prime contributor to total equity returns. Experts say there are plenty of other reasons to consider such stocks. For example, these stocks have historically fared well when interest rates are on the rise. ThinkAdvisor (05/22)


10. FINRA hotline for seniors is getting hundreds of calls

FSI NewsBrief | May 27, 2015

Hundreds of elderly investors are taking advantage of a hotline for seniors set up by the Financial Industry Regulatory Authority. The topics range from complaints about misconduct by brokers to requests for information about investment products. The Wall Street Journal (tiered subscription model) (05/26)




Sign up for FSI NewsBrief



Designed specifically for independent broker-dealers and independent financial advisors, FSI Newsbrief is a FREE daily e-mail newsletter. It provides the latest news to help you stay on top of the industry and better advise your clients. Learn more