Here is a quick quiz that will test your qualifications to fill either of the two current openings on the Securities and Exchange Commission:
With the third-quarter-earnings season in full swing, financial advisers and analysts are finding similarities between this technology boom and the previous one — and they can't help but wonder if another bust is on the horizon.
The Phoenix Cos. Inc. has formed an alliance with Jefferson National Life Insurance Co. in which Phoenix will use the Jefferson technology platform to offer no-load variable annuities to fee-based advisers at wirehouses and regional broker-dealers.
As we spoke, I could tell by the glint in his eye and his body language that Michael L. Weiss, chief executive of Frontier Financial Advisors LLC, is a helluva salesman. The fact that he was several miles away was just a technicality.
Merrill Lynch has launched an independent broker-neutral platform for its prime brokerage clients in the hedge fund industry.
A subsidiary of NYSE Euronext announced that connectivity to the BATS market center is available via the Secure Financial Transaction Infrastructure.
Cory Little will head the private banking and investment unit in Boston's global wealth management group.
Merrill Lynch is stoutly denying that its finance chief, Jeffrey Edwards, will get the boot.
Financial advisers who are frustrated over perceived shortcomings in mutual-fund- rating systems soon will have a new prism through which to view funds.
One of the nation's top-producing independent brokers is under investigation by Michigan securities regulators.
In an effort to get more wirehouse brokers to break away and become independent registered investment advisers, Schwab Institutional plans to roll out today an all-in-one benefits and payroll package designed for the newly independent RIA.
The financial advisers with the fastest-growing businesses aren't succeeding by accident.
The Master-Liquidity Enhancement Conduit seeks to prevent an asset fire sale and to stimulate credit markets.
For the most part, the current crop of software programs aimed at helping financial advisers manage their clients' assets through retirement fall short of their goals, according to a leading technology analyst.
Independent advisers who are interested in separately managed account platforms but have always thought they were too expensive may want to take a fresh look at what is out there today.
A.G. Edwards & Sons Inc. has sued more brokers who left the firm in the wake of its recent merger with Wachovia Securities LLC.
Social Security was once the third rail of politics. For years, the conventional wisdom held that if politicians mentioned the system's financial problems and so much as alluded to changing anything, they faced electrocution in the court of public opinion and a grisly end to their career
There is something rotten in the state of Michigan. Gov. Jennifer Granholm and state lawmakers emerged from a recent late-night budget session with a new 6% sales-and-use tax that affects investment advice services, among about 20 other previously untaxed services.
Participants in 401(k) plans deserve to know exactly how much of their money is paying for their funds and services.
