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November 5, 2012
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Financial and wealth management news for the retirement community

  Top News 
  • Retirees should plan for post-election uncertainty
    Retirees may want to lock in investment gains immediately if the presidential election's outcome is cloudy Wednesday, Robert Laura writes. The uncertainty around the scheduled expiration of tax cuts is another cause for concern, Laura writes. "Combined, all of these post-election issues highlight a common theme for retirees: things are getting more complex," he writes. Forbes (11/4) LinkedInFacebookTwitterEmail this Story
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  Industry Update 
  • ASPPA opposes targeting of tax deferrals for retirement plans
    The American Society of Pension Professionals and Actuaries says it will work to protect tax deferrals for worker contributions in employer-sponsored retirement plans, which may be targeted in deficit-reduction efforts. "I promise you, we're going to get a trim, but it's not going to be a crew cut," Executive Director Brian Graff said at the ASPPA's conference. InvestmentNews (free registration) (11/4) LinkedInFacebookTwitterEmail this Story
  • FINRA extends its arbitration system to RIAs
    The Financial Industry Regulatory Authority announced late last week that its arbitration process is now available to registered investment advisers, even though the watchdog does not officially keep an eye on the approximately 28,000 RIAs in the country. The rub is that FINRA is interested in becoming the self-regulatory organization for RIAs, though it says the arbitration move and the SRO hopes are unrelated. Reuters (11/2) LinkedInFacebookTwitterEmail this Story
  • Other News
  Financial Literacy 
  • Small investors need financial education
    Too many individual investors are foggy on basics such as inflation, compound interest and stock market risk, research shows. The problem with focusing financial-literacy training on high-school students, experts say, is that by the time people are adults, they've forgotten much of what they learned. The Wall Street Journal (11/2) LinkedInFacebookTwitterEmail this Story
  On the Economy 
  • "Fiscal cliff" could add $3,700 to 26 million households' tax bill
    Millions of middle-class U.S. taxpayers will face an average $3,700 tax increase from the alternative minimum tax if the "fiscal cliff" is not averted. Because the 26 million middle-income households affected have never had to pay this tax, most are unaware of its likely effect on them when they pay their federal income taxes, Lori Montgomery writes. The Washington Post (11/4) LinkedInFacebookTwitterEmail this Story
  • Sandy's economic damage is seen as short-term
    Despite the massive damage left by Hurricane Sandy and its remnants along the East Coast, the effects on the national economy are not expected to last long. The interruptions, however, are likely to skew business activity in the short term and throw off this week's jobless-benefit numbers. MarketWatch (11/4) LinkedInFacebookTwitterEmail this Story
  Building Your Practice 
  • Changing trends that financial advisers must track
    The role of financial adviser has evolved to include a greater focus on risk management, says Jeff Montgomery, CEO of AFAM/Innealta Capital. How advisers address their practice structure is another change. "Practice structure is not just succession," Montgomery said. Due diligence practices and the client model itself are also changing trends for advisers. AdvisorOne (11/1) LinkedInFacebookTwitterEmail this Story
  • "Mental control" is the key trait for advisers
    Controlling your thoughts and attitudes as you move toward goals is the foundational skill for success, writes Glenn Kautt of Savant Capital Management. Kautt relates how his own lack of mental control almost cost him a shot at a successful career. Financial Planning (11/2012) LinkedInFacebookTwitterEmail this Story
Mere longevity is a good thing for those who watch life from the sidelines. For those who play the game, an hour may be a year, a single day's work an achievement for eternity."
--Gabriel Heatter,
American radio commentator

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