Bloomberg

Bloomberg
Displaying 13191 results
Workers making a hash of nest eggs
RETIREMENT PLANNING MAR 30, 2011
Workers making a hash of nest eggs

Retirement funds not even close to what employees say they'll likely need; confidence level lowest in 20 years

So who's the big winner in the QA3 rep sweepstakes?
INDEPENDENT BROKER DEALERS MAR 29, 2011
So who's the big winner in the QA3 rep sweepstakes?

So who's the big winner in the QA3 rep sweepstakes? Right now, it looks like FSC Securities. The AIG unit is in line to snag 50 of the foundering B-D's reps.

LIFE INSURANCE AND ANNUITIES MAR 28, 2011
Coping with costs and compliance

For newly minted sole practitioner Andrew J. Feldman, the toughest part about striking out on his own has been coping with the cost of doing business

RIA NEWS MAR 28, 2011
From the Headhunter: The offer advisers can't refuse

Pension group calls DOL disclaimer for B-Ds 'unduly harsh'
RETIREMENT PLANNING MAR 28, 2011
Pension group calls DOL disclaimer for B-Ds 'unduly harsh'

ASPPA rails against proposal requiring brokers to disclose that they're not impartial and not working in a plan's best interest

What the wealthy really want from advisers
PRACTICE MANAGEMENT MAR 24, 2011
What the wealthy really want from advisers

More face time, for starters; ranking shows Atlantic Trust scores well with clients

RIA NEWS MAR 24, 2011
IRS auditors went after rich in fiscal 2010

The Internal Revenue Service audited 18.4% of taxpayers reporting income above $10 million last year, up from 10.6% in fiscal 2009

REGULATION AND LEGISLATION MAR 24, 2011
After beating, Stanford one step closer to getting out of jail

Persuades judge in civil trial to move him from prison cell to house arrest; 'wreck of a man'

RETIREMENT PLANNING MAR 23, 2011
Putnam CEO to Congress: Save Social Security, don't privatize it

Putnam Investments chief Robert Reynolds came to Washington on Wednesday to urge Congress to save Social Security — just not in the way Wall Street executives usually recommend.

FIXED INCOME MAR 22, 2011
Southwest hit with $500K fine

Southwest Securities Inc. will pay $500,000 to resolve Financial Industry Regulatory Authority Inc. claims that the firm violated Municipal Securities Rulemaking Board rules by using paid consultants to solicit business