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GAO pans financial literacy programs
RIA NEWS JUN 26, 2011
GAO pans financial literacy programs

A federal certification would strain resources; some simple approaches help

RIA NEWS JUN 24, 2011
Why Warren Buffett isn't biting on Apple

Warren E. Buffett probably will hang on to his aversion to electronics makers such as Apple Inc. (AAPL) because its business prospects are harder to predict than companies such as Coca-Cola Co. (KO)

View: Time to scrap the SEC and start all over again
REGULATION AND LEGISLATION JUN 23, 2011
View: Time to scrap the SEC and start all over again

Allegations of document destruction is latest in long list of complaints about Commission

RETIREMENT PLANNING JUN 22, 2011
Wealthy get healthy as ranks of urban rich swell

Number of high net worth individuals swells, as markets recover; good two years for Houston

RIA NEWS JUN 19, 2011
Advisers: How do you know when it's time for an upgrade?

Financial advisers, whether solo practitioners or members of a multiperson firm, need to think regularly about whether their technology is keeping pace with their business needs.

RIA NEWS JUN 19, 2011
Outsourcing peripheral tasks lets advisers focus on growth, clients

When David Marotta started his advisory practice in 2000, he was tempted to get involved with the design of its website and the deployment of software and computer resources for the office.

Securities America reps finally see closure in class action settlement
RIA NEWS JUN 16, 2011
Securities America reps finally see closure in class action settlement

Judge approves settlement; brokers with arbitration claims now can put matter behind them

INcite: SEC's cease-and-desist orders a joke
REGULATION AND LEGISLATION JUN 16, 2011
INcite: SEC's cease-and-desist orders a joke

Commission tells JPMorgan securities unit not to do what it told it not to do two times before; third time's the charm?

Plunge in revenue growth fueling advisory firm M&As, Pershing says
RIA NEWS JUN 15, 2011
Plunge in revenue growth fueling advisory firm M&As, Pershing says

Independents are doing most of the deals; difficulty expanding business organically

FIXED INCOME JUN 15, 2011
Plans to tax munis won't fly: BNY Mellon

Renewed proposals to eliminate the tax-exempt status of municipal bonds as a way to reduce the $1.5 trillion federal deficit are unlikely to succeed, according to a report by The Bank of New York Mellon Corp.