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Latest News for Financial Advisers

Updated: 7/3, 9:54 AM ET

Investment INsights: Active-versus-passive debate rages on; Departing chief draws kudos for righting Putnam's ship; Pimco launches high-end muni-bond fund; Ivy Funds splits with Henderson Global Investors; We'll be back; InvestmentNews.com readers sound off
IN Retirement: Frozen 401(k) matches are discouraging employees from contributing; Emmet A. Larkin Co. quits the clearing arena

This Week in Investment News

Top Headlines

Some advisers question future of LPL unit

By Bruce Kelly

Tensions have been building for months among financial advisers affiliated with Mutual Service Corp., a subsidiary broker-dealer of LPL Investment Holdings Inc., as they wonder about the future of their firm.

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SEC doesn't need a defibrillator after all

By Sara Hansard

At the beginning of the year, after it missed cues for seemingly everything from the massive Madoff Ponzi scheme to the credit crisis, the Securities and Exchange Commission was being written off as all but dead.

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Insurance-affiliated brokers face major changes under Obama plan

By Darla Mercado

Broker defections, a loss of market share and spinoffs could be on the horizon for insurance-affiliated broker-dealers if the Obama administration's proposed regulatory reforms force them to act as fiduciaries.

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529 plans tap third-party consultants

By Charles Paikert

States that operate Section 529 college savings plans are showing an increased interest in hiring third-party investment consultants to monitor their programs in the wake of the stock market downturn and the poor performance of OppenheimerFunds Inc.'s Core Bond Fund.

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Advisers, investors call for reinstating uptick rule

By Sara Hansard

Highlighting investor concern about the market effects of short selling, more than 3,000 comments have been filed with the Securities and Exchange Commission on proposed changes to the short-sale rule.

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Technology helps deaf adviser expand practice

By Lisa Shidler

Louis Schwarz responds to his clients' concerns even though he can't hear what they are saying.

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Wealth managers must improve business model to retain clients, report says

By Charles Paikert

In an effort to retain assets and regain the confidence of high-net-worth clients, wealth managers must find ways to improve their overall business model, according to a new report.

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Bill would give indie advisers sole right to offer 401(k) advice

By Mark Bruno

After focusing their efforts on increasing 401(k) fee disclosure, members of an influential committee last week approved a more comprehensive package of potential retirement reforms.