Latest News

Cybersecurity a major priority in independent broker-dealers' 2015 tech budgets

Sep 14, 2014

Preventing hack attacks is a big concern for independent broker-dealers heading into next year based on their planned technology spending.

Tiny long-short equity mutual fund delivers huge gains

Sep 12, 2014

The phones rang a lot more than usual this summer at Biondo Group LLC, the small Pennsylvania investment firm tucked away near the Delaware Water Gap and the foothills of the Pocono Mountains.

Mr. Boudreaux goes to Washington

Sep 12, 2014

Louisiana financial planner makes trek to DC to lobby senator on user fee bill

Bernie Madoff's son leaves more than $15M in his will

Sep 12, 2014

Andrew Madoff, the son of the convicted Ponzi schemer, lists $11M in personal property and $4.5M in improved real property.

Advisers and investors take new military action in stride

Sep 11, 2014

Day after Obama authorizes new round of air strikes in the Middle East, oil drops. What gives?

Popular tax breaks will get renewed this year, GOP says

Sep 11, 2014

Republican lawmakers see tax-extender approval going through before the end of 2014, keeping tax breaks favored by clients in place.

New broker working group aims for easy-to-read fee disclosure

Sep 11, 2014

NASAA report on hidden and complicated fee disclosures sparks drive for simple, uniform language.

Morgan sets sights on Schwab's financial consultants

Sep 11, 2014

In battle to recruit affordable talent and assets, Morgan Stanley risks legal fallout to pursue discount broker's advisers.

Finra plans to revive controversial broker compensation proposal

Sep 11, 2014

The regulator will consider a revised version of a rule requiring brokers to disclose recruitment incentives at its board meeting next week.

$2.7B nontraded REIT plans sale or listing

Sep 11, 2014

CNL Lifestyle CEO tells shareholders he's seeking 'attractive' exit for portfolio.

Why health care is the ultimate retirement wild card

Sep 12, 2014

New study focuses on the need to integrate health care and retirement planning.

Are you managing your online presence?

Sep 11, 2014

A simple web search will reveal a lot about you, so take care to keep a positive profile.

Wells Fargo pushes insurers to lower commissions on indexed annuities

Sep 10, 2014

Debut of its new offerings follows an industrywide surge in popularity for the products.

Small and midsize advisory firms not targeted by cybercrooks

Sep 10, 2014

Though data breaches are rare, state regulators worry they are on the uptick, and firms are preparing.

Going paperless: Advice industry takes on challenge

Sep 10, 2014

In an industry notorious for documents and signatures, firms welcome chance to automate

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