Thursday, July 2, 2009
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Latest News for Financial Advisers

Updated: 7/2, 4:25 PM ET
More Top Stories

This Week in Investment News

Top Headlines

Equity issues hitting market at record pace
By Jeff Benjamin
Record levels of stock issuance by public companies over the past several weeks could come back to haunt the market and hurt investors, at least in the near term.
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Schwab to waive fees for its RIAs' new clients
By Jed Horowitz
Thumbnail The Charles Schwab Corp. is dipping into its deep pockets to help independent advisers capture business from full-service brokers.
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Lax compliance can be costly, warn experts
By Lisa Shidler
In their efforts to cut costs, advisers may be setting themselves up for some big expenses.
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Some advisers question future of LPL unit
By Bruce Kelly
Thumbnail 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
Thumbnail 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
Thumbnail 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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Bill would give indie advisers sole right to offer 401(k) advice
By Mark Bruno
Thumbnail 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.
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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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More of This Week's Issue

Viewpoint
Editorial
We need financial cops - and speed limits
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Editorial Cartoon - We need financial cops - and speed limits
Other Voices
Securing the next generation of life cycle funds
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Letters to the Editor
NAIC suitability provision for annuities a ruse
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