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November 15, 2012
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News covering the insurance and financial advising industry

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  • SEC sets record for enforcement actions
    The Securities and Exchange Commission initiated the most enforcement actions in its history against financial advisers and investment firms during fiscal 2012, which ended Sept. 30. The regulator filed 147 actions, one more than in fiscal 2011, the previous record. InvestmentNews (free registration) (11/14) LinkedInFacebookTwitterEmail this Story
  Investment Trends 
  • Survey: Many advisers plan to recommend alternative investments
    Alternative and tactical investments are being embraced by financial advisers, more than 80% of whom said they are using or intend to recommend the strategies to clients in the coming year, according to Capital Management Group. The survey further found that less than 25% of advisers continue to employ the traditional portfolio allocation of 60% stocks and 40% bonds. "Advisers are extremely interested in ways of using tactical investments to successfully navigate the challenges of the investment world by utilizing liquid, transparent and cost-effective tools like [exchange-traded funds] and mutual funds," said Michael Sciortino Sr. of Capital Management Group. BenefitsPro.com (11/14) LinkedInFacebookTwitterEmail this Story
  Policy Watch 
  • Fla. governor says he'll negotiate on Affordable Care Act
    Florida Gov. Rick Scott has abandoned his resistance to the Affordable Care Act, saying he's seeking "solutions that are good for Florida families by reducing cost and improving quality and access in health care," Scott's spokeswoman said in a statement. The federal government is requiring states to decide by Nov. 16 whether they will operate their own health insurance exchanges. The Republican Governors Association is seeking an extension of that deadline. Bloomberg Businessweek (11/14) LinkedInFacebookTwitterEmail this Story
  • Minn. task force: Feds should tackle risk adjustment in health law
    Minnesota will be better off allowing the federal government to handle the risk-adjustment system mandated by the Affordable Care Act until regulators, insurers and state health insurance exchanges devise ways to limit the loss ratios of insurance plans, the state's Health Insurance Exchange Advisory Task Force says. The group says the state could take over control of the system once it has established a means to operate such a program. Minnesota lacks the authority to use its all-payer claims database to operate a risk-adjustment program. National Underwriter Life & Health (11/14) LinkedInFacebookTwitterEmail this Story
  • Other News
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  • Small businesses upbeat about finances
    Small-business owners are maintaining a positive outlook for the rest of the year, according to the latest Western Union Payments Small Business Barometer. The national survey, which monitors business owners' financial confidence and money-management practices, found that U.S. entrepreneurs saw gratification in being small-business owners and are optimistic about prospects for their revenue. Read more on the Advisor Today blog. LinkedInFacebookTwitterEmail this Story
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Nothing in life is to be feared. It is only to be understood."
--Marie Curie,
Polish-French physicist and chemist


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