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Thursday, June 17, 2021

10 Articles for the Financial Advisor Thanksgiving Weekend Reading List

Here are ten suggested articles for financial advisors to read this Thanksgiving weekend:

1. End-Of-Year Medicare Planning Opportunities During The Open Enrollment Period – The final weeks of the year are some of the busiest for financial advisors as they help their clients not only plan for the upcoming year but wrap up their planning for the current year before it ends.

2. Something Crazy’s About to Happen With That Generational Wealth Transfer – First it was $18 trillion, then $35 trillion, then $41 trillion—and now? Cerulli says cynical Gen X will seriously up the ante, transferring an astounding $68 trillion of wealth to heirs over the course of the next 25 years. 

3. Packing for the Holidays: Reducing Risk with Short‑Term Bonds – As we approach the holiday season, most investors are beginning to think about escaping to somewhere far and exotic or spending time with family and friends. Unfortunately, while our social calendars are working overtime, markets don’t always take a break during the festive season.

4. The SEC will never approve a Fiduciary Standard – There has been a lot of discussion in recent months about the Securities and Exchange Commission stepping up to protect investors with a “Fiduciary Standard” of care.  Following a huge volume of fan-fare, the SEC went silent on the use of the term “fiduciary” to define a standard of care. 

5. What Advisors Are Most Grateful For This Thanksgiving – It’s the day before Thanksgiving and we couldn’t help wondering what our readers are thankful for in 2018—a year highlighted by massive tax reform, a remarkable influx of new clients and an interesting, if turbulent stock market.

6. Ten Gifts Advisors Should Treat Themselves to This Black Friday – Treat yourself with one of these gifts that are unique to the profession.

7. Voices: Why asset managers are struggling now – Investment firms have been living on borrowed time. When indexed back to 2007, profits grew by a staggering 20% in North America and Asia last year, and by 18% in Europe, according to a study just published by consultancy firm McKinsey.

8. Rethinking Performance Standards (Part II – The Solution) – Last week we described an inherent flaw in the performance reporting format the SEC requires every mutual fund to include in their prospectus and annual report (see “Rethinking Performance Standards (Part I – The Fatal Flaw,”, November 13, 2018). This reporting format is pervasive. It can be found in nearly any investment savings vehicle. Retirement savers are most vulnerable to this flaw, as 401k plans, through their service providers, likely use this same format.

9. What The Future of Multiple Employer Plans Looks Like – On October 22, 2018 the U.S. Department of Labor announced about the Notice of Proposed Rulemaking. The Proposal was a response of the DOL to the President’s Executive Order signed on August 31, 2018 and aimed at liberalization of the Multiple Employer Plan (MEP) rules.

10. How will the 2018 Midterm Elections Affect You as a Financial Advisor? – The big news in the US this November, which was accurately predicted by virtually every reputable pollster and pundit who prognosticates about US elections, is that the 116th congress will bring a divided government with the Democrats controlling the House of Representatives and the Republicans controlling the Senate.


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