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November 1, 2012
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Advocating Direct Investments through Education

  Top Stories 
  • Inland's Goodwin touts evolution of nonlisted REITs
    Much of the criticism of nonlisted real estate investment trusts grows out of money lost by investors in a nationwide crash that left few real estate firms unscathed, said Daniel Goodwin, chairman and CEO of The Inland Real Estate Group of Cos. Many REITs that don't trade on securities exchanges, including one Inland is launching, are reducing fees and providing more financial disclosure than before. Crain's Chicago Business (10/29), Commercial Property Executive (10/25) LinkedInFacebookTwitterEmail this Story
  Policy Update 
  • Investors to rethink investments, financial plans after election
    Affluent investors feel confident they have amassed enough cash holdings and plan to increase investments after the election, according to a UBS study. Also, nearly half of high-net-worth investors say they will revisit their financial plans once the election is past, according to the poll. AdvisorOne (10/26) LinkedInFacebookTwitterEmail this Story
  • Presidential race could decide winner of fiduciary fight
    The controversy over the Department of Labor's efforts to impose tougher fiduciary standards on retirement investment advisers could finally be settled on Election Day, experts say. An Obama victory would be read as a mandate for tougher regulations, while a Romney win would likely end the reform effort. If Romney wins the White House, "in my opinion, that regulation is pretty much dead," said Brian Graff, executive director of the American Society of Pension Professionals & Actuaries. InvestmentNews (free registration) (10/30) LinkedInFacebookTwitterEmail this Story
  • Conflicts of interest attract the interest of FINRA
    The Financial Industry Regulatory Authority has turned its attention to how brokerages handle conflicts of interest and compensation arrangements that encourage brokers to promote certain financial products. FINRA is looking at 14 top brokerage firms, but officials would not name the firms or identify specific issues under investigation. Reuters (10/24) LinkedInFacebookTwitterEmail this Story
  • FINRA says RIAs can now access arbitration system
    The Financial Industry Regulatory Authority's complaint system, which was previously accessible only for claims involving securities firms and broker-dealers, has been opened up to include registered investment advisers. InvestmentNews (free registration) (10/28) LinkedInFacebookTwitterEmail this Story
  • Retirement tax breaks may be vulnerable, some say
    Incentives that encourage employees to save for retirement could become targets for lawmakers seeking to deal with federal budget issues, some experts say. "We know employee benefits will be in the cross hairs," said James Klein, president of the American Benefits Council. "There is no question in my mind that it will be item No. 1 next year, especially if you want to lower tax rates." Pensions & Investments (free registration) (10/29) LinkedInFacebookTwitterEmail this Story
  Industry News 
  • Survey finds strong interest in retirement-income options
    About three-quarters of defined-contribution executives say they'd consider offering in-plan retirement-income solutions if regulators provided a clearer fiduciary framework, according to a Pensions & Investments/Rocaton survey. "If the [U.S. Labor Department] formalizes a safe harbor, that could go a long way in convincing large plans" to offer guaranteed-income or annuity components, Rocaton's Christopher Lyon said. Pensions & Investments (free registration) (10/29) LinkedInFacebookTwitterEmail this Story
  Income Planning 
  • Alternative strategies can temper risk and lift returns
    Judicious use of alternative investment strategies to supplement basic investment in the stock market could have smoothed out bumps for investors during the past 10 years, according to a white paper by Steve Medina, co-head of global asset allocation at John Hancock Asset Management, and Michael Stephens, senior product manager at John Hancock Financial Services. They described alternatives including commodities and real estate, tactical and multisector techniques, and absolute-return strategies. Bank Investment Consultant (10/26) LinkedInFacebookTwitterEmail this Story
  • Experts: IRS guidance may trump 4% rule for retirement withdrawals
    The Internal Revenue Service's required-minimum-distribution method for determining withdrawals from retirement-fund accounts can have advantages over the traditional 4% guideline, Robert Bloink and William Byrnes write. Unlike the 4% rule, RMD takes into account the actual market performance of assets, allowing retirees to withdraw more or less as conditions allow. The method requires clients to start tapping tax-deferred retirement funds when they are halfway between ages 70 and 71, and it provides minimum-withdrawal calculations based on life expectancy, Bloink and Byrnes write. AdvisorOne (10/30), InvestmentNews (free registration) (10/18) LinkedInFacebookTwitterEmail this Story
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  SmartQuote 
Where there is no imagination there is no horror."
--Sir Arthur Conan Doyle,
Scottish physician and writer


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