Latest News

IRS sets cost of living adjustments for 2015

Oct 23, 2014

Contribution limits climb but not for IRAs

Schwab signs Morningstar to provide equity research, ratings

Oct 23, 2014

Deal will give advisers access to sector reports and pick lists, as well as daily, weekly and quarterly outlook reports.

United Capital acquires $320 million AUM adviser

Oct 23, 2014

California-based Valley Wealth is firm's third – and largest – acquisition this year.

New LinkedIn tool could help advisers with marketing, compliance

Oct 23, 2014

An added function allows the exporting of first-degree connections, endorsements, comments made in groups and other LinkedIn content.

Janus CEO Weil hopes for Bill Gross-run ETF

Oct 23, 2014

Money manager looks to better reach advisers by selling the fast-growing funds, leveraging newly acquired VelocityShares.

Mark Casady headshot

Analysts question whether LPL is out of the regulatory woods

Oct 23, 2014

Analysts are unnerved by LPL Financial's inability to close the cash register on regulatory charges after CEO Mark Casady said compliance failures could cost $23 million in the third quarter.

Focusing on female clients means helping with their lives, not just money

Oct 22, 2014

Advisers give tips on what successful women want in a financial professional.

Wunderlich and fired LPL broker part ways

Oct 22, 2014

Former star LPL broker and Houston branch manager James "Jeb" Bashaw is no longer joining Wunderlich Securities, and is also fighting back against LPL's allegations.

Some see buying opportunity in closed-end funds

Oct 22, 2014

Some investment pros see buying opportunity in closed-end funds as trading volatility increases

Money managers to redraw battle plans after SEC nixes batch of nontransparent ETFs

Oct 22, 2014

In a preliminary decision, the Securities and Exchange Commission has rejected applications for nontransparent ETFs from BlackRock, Inc. and Precidian Investments, determining that the proposals are not in the public interest.

Social Security admin

Social Security cost-of-living adjustment to rise less than 2% again in 2015

Oct 22, 2014

Social Security Administration says benefits will rise 1.7% next year, coming to about $20 extra per month, which some argue won't cover health care inflation.

SEC enforcement office

What the SEC's enforcement numbers really tell us

Oct 22, 2014

Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past

LPL cuts profit forecast to cover higher-than-expected regulatory costs

Oct 21, 2014

LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.

Borzi taking a back seat on fiduciary

Oct 21, 2014

DOL conflicts-rule champion Phyllis Borzi steps back while secretary meets with industry

Housing recovery on horizon, but too late for many baby boomers starting retirement

Oct 21, 2014

Median price of existing home sale up more than 5% in September but sales down from a year ago.

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