Latest News

Finra puts onus on clients to find broker recruitment incentives

2:22 pm

New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.

Advisers help clients brace for health care surprises in retirement

2:00 pm

Though a client's potential health crisis can't be anticipated long before it comes, a plan can be sketched out.

This week's stories that financial advisers can't miss

1:29 pm

A scandalous lawsuit, new data on the growth of independent firms, and the rest of this week's must-reads

Beatty takes reins of NASAA, focuses on protecting senior investors

12:42 pm

Other issues state regulators are tackling include expungement, broker fee disclosures and REIT concentration in portfolios.

Merrill asks $2.5 billion team to leave

11:06 am

The advisers allegedly violated Finra rules and firm policy by encouraging some of their larger clients to invest directly in hedge funds.

Jay Wintrob resigns as CEO of AIG Life and Retirement

Sep 18, 2014

He had been in contention to succeed Benmosche as head of AIG.

Philanthropic advisers recognized for service

Sep 18, 2014

Five advisers win Community Leadership Awards at eighth annual industry gathering Thursday night.

FolioDynamix wealth platform acquired in $199 million deal

Sep 18, 2014

Cloud tech firm Actua will acquire an approximately 97% primary equity interest.

Morningstar takes new approach to 'smart' ETFs

Sep 18, 2014

Make-or-break firm classification system gives fund managers more insight into fast-growing funds.

Rule proposal for new hire background checks moving to SEC

Sep 18, 2014

The role moving to the SEC would require brokers to put written procedures in place to verify the accuracy of applicants' U4 forms.

Schwab expands commission-free trading platform for ETFs

Sep 18, 2014

Seen as a win for investors and participating fund companies.

IRS shifts course with new rollover distribution rule

Sep 18, 2014

The latest guidance from the IRS allows workers to roll over certain retirement money tax-free.

Whether 'yes' or 'no, thanks,' Scotland vote unlikely to trip up hot UK economy

Sep 18, 2014

The U.K. economy is ready for battle.

Schorsch's RCS buys majority stake in Docupace Technologies

Sep 18, 2014

Company provides SEC- and Finra-compliant paperless processing systems to financial services firms.

Fed decides to hold tight on rates, and advisers react

Sep 17, 2014

The Federal Reserve decides to hold tight on interest rates, and advisers are reacting accordingly.

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