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Retirement plan sponsors want more from advisers

Nov 20, 2014

A desire for greater expertise was cited as the primary reason for switching advice providers, says Fidelity survey

IRS losing the battle over mega-IRAs as company founders fill retirement accounts with nonpublic stock

Nov 20, 2014

Outgoing Senate Finance Committee chair urges IRS, Treasury to step up.

Commodity Futures Trading Commission teams up with SEC and Finra to combat investor fraud

Nov 19, 2014

Federal financial regulators collaborate on consumer website linking resources on advisers and investment products.

Global economic worries send stocks lower; focus turns to U.S. data

Nov 20, 2014

Salesforce, Keurig knocked lower by weak forecasts; secondary offering sinks GoPro.

Ex-Schwab broker barred for alleged theft of $1 million in office supplies

Nov 19, 2014

Former rep purchased office equipment through the firm's order system without authorization, then sold them to individuals, Finra alleged.

Investor appetite for China A-shares sends ETF assets toward record

Nov 19, 2014

X-trackers Harvest, Market Vectors ChinaAMC exchange-traded funds get surge of cash as stock pipeline opens.

Morgan Stanley courts athletes, entertainers with new wealth unit

Nov 19, 2014

Brokers take a three-day training program on how to cater to those clients.

Investors hit pause button awaiting Fed minutes

Nov 19, 2014

With massive bond buying program over, investors seek hints of rate hike plan.

Early detection of Alzheimer's would allow for better financial planning

Nov 18, 2014

Soon, a blood test may let patients know they have Alzheimer's 10 years earlier than it can be diagnosed today. Advisers say that is a lot of extra years to allow clients to save and make important legal and health care decisions.

SEC keeps fiduciary promises vague for 2015

Nov 18, 2014

Agency's annual report reveals higher percentage of adviser exams, and priorities for next year.

Wells Fargo settles bonus squabble for $7.4M

Nov 18, 2014

Wirehouse settles class action claim the firm wrongly withheld incentive compensation from two former advisers who changed firms.

As oil prices fall, investment opportunities emerge

Nov 18, 2014

Boon for MLPs, and a boost for holiday sales

Fidelity researchers dive into virtual reality with StockCity

Nov 19, 2014

Fidelity researchers dive into virtual reality with StockCity, a wearable technology interface for investors to explore the stock market like it were the streets of Midtown Manhattan.

Despite Steven A. Cohen's investment, RCAP shares face short-term hurdles

Nov 18, 2014

Hedge fund giant boosts ownership of broker-dealer.

Investor confidence boosts European stocks; U.S. shares flat

Nov 18, 2014

Focus on Japan after unexpected stimulus boost, early election call.

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