Advisor News

Displaying 28291 results
Creating new position, LPL hires a chief technology officer
FINTECH MAY 10, 2015
Creating new position, LPL hires a chief technology officer

McGraw-Hill's David Wright named to the new role

By Alessandra Malito
RETIREMENT PLANNING MAY 10, 2015
Secrets to surviving a rising rate environment

Adding a mix of nontraditional investments to fixed-income holdings can help.

By Christopher D. Long
OPINION MAY 10, 2015
Women bring value to corporate boards

Judging by the evidence, adding women to all boards would improve U.S. corporate performance

By MFXFeeder
OPINION MAY 10, 2015
Conflicts aren't all bad for investors

DOL, swayed by more flexible "best interests' standard, would allow variable compensation

By Blaine F. Aikin
OPINION MAY 10, 2015
Stepping up protection for the elderly

As the elderly population grows, it's incumbent on advisers and brokers to put those clients' best interests ahead of their own.

By MFXFeeder
Fixing Wall Street's relationship with Washington starts with fixing Washington
REGULATION, LEGAL & COMPLIANCE MAY 10, 2015
Fixing Wall Street's relationship with Washington starts with fixing Washington

SALT conference panel agrees partisanship is worse than ever; blames media.

By Jeff Benjamin
SEC considers making use of in-house judges more transparent
REGULATION, LEGAL & COMPLIANCE MAY 08, 2015
SEC considers making use of in-house judges more transparent

Chairwoman Mary Jo White says may float proposal that would outline why agency sends cases to its judges.

By Mark Schoeff Jr.
Democratic senators split from White House on DOL fiduciary rule
REGULATION, LEGAL & COMPLIANCE MAY 08, 2015
Democratic senators split from White House on DOL fiduciary rule

Along with financial industry, group of legislators ask for extension of public comment period on new proposal.

By Mark Schoeff Jr.
SEC names David Grim director of Division of Investment Management
REGULATION, LEGAL & COMPLIANCE MAY 07, 2015
SEC names David Grim director of Division of Investment Management

20-year agency vet takes helm after serving as acting chief since February, when Norm Champ left.

By Mark Schoeff Jr.
Schwab CEO Bettinger: Better for SEC to follow DOL fiduciary than diverge
REGULATION, LEGAL & COMPLIANCE MAY 07, 2015
Schwab CEO Bettinger: Better for SEC to follow DOL fiduciary than diverge

He's afraid that DOL and SEC could end up with two different standards, and that would confuse the public.

By Mark Schoeff Jr.
Finra's longtime critics become its supporters and vice versa
REGULATION, LEGAL & COMPLIANCE MAY 07, 2015
Finra's longtime critics become its supporters and vice versa

Friday hearing with CEO Rick Ketchum finds Republicans on the attack and Democrats doing the defense.

By Mark Schoeff Jr.
OPINION MAY 07, 2015
Retirement, ready or not

Clients depending on their ability to work beyond normal retirement age should think twice.

By MFXFeeder
RETIREMENT PLANNING MAY 07, 2015
Four retirement mistakes investors are making now

Once, these moves might have been seen as wise. But the environment has changed.

By Bloomberg
INDEPENDENT BROKER DEALERS MAY 06, 2015
LPL hires E*TRADE CFO Audette to replace Dan H. Arnold

Manager known as a 'turnaround artist' to take financial helm after Arnold bumped to president to replace Moore.

By Trevor Hunnicutt
Schwab considers expanding RIA custody model outside U.S.
FINTECH MAY 06, 2015
Schwab considers expanding RIA custody model outside U.S.

CEO Bettinger also defends robo-advisers, although he acknowledges they haven't been tested by a bear market

By Trevor Hunnicutt
FINTECH MAY 06, 2015
Envestnet acquires Finance Logix

The cash and stock deal, valued at more than $30 million, for the financial planning software provider marks yet another indicator of the industry's turn toward goals-based planning.

By Alessandra Malito
Online financial advisers edge into retirement market
RETIREMENT PLANNING MAY 06, 2015
Online financial advisers edge into retirement market

For now, the service provided is advice, rather than management.

By Alessandra Malito
Betterment gets a finger-hold in retirement advice market
RETIREMENT PLANNING MAY 06, 2015
Betterment gets a finger-hold in retirement advice market

It will be tough, however, to compete with 401(k) behemoth Financial Engines.

By Alessandra Malito
Entice employees to save for retirement with a creative campaign
RETIREMENT PLANNING MAY 06, 2015
Entice employees to save for retirement with a creative campaign

Advisers must go further than automatic features if they'd like to get employees interested in saving at work.

By Darla Mercado
Financial industry asks DOL for more time on fiduciary rule
RETIREMENT PLANNING MAY 06, 2015
Financial industry asks DOL for more time on fiduciary rule

Groups say they need an extra 45 days above the 75-day comment period to respond.

By Mark Schoeff Jr.