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REGULATION AND LEGISLATION MAR 18, 2011
Advisers look to 'show their cards last' by filing ADVs at deadline

Harvard vs. plumbing school? You'd be surprised
RETIREMENT PLANNING MAR 18, 2011
Harvard vs. plumbing school? You'd be surprised

With college tuition reaching mind-boggling levels, economist Laurence Kotlifoff reexamines the ROI of higher education. What he discovers may explain why the guy who fixes your sink drives a better car than you do.

Nikkei plunge an 'overreaction,' Oakmark managers say
EMERGING MARKETS MAR 17, 2011
Nikkei plunge an 'overreaction,' Oakmark managers say

Firm's International Fund has 23% of assets in Japan; 'high-quality companies'

REGULATION AND LEGISLATION MAR 17, 2011
Report slams SEC union, agency's oversight of Finra

RIA NEWS MAR 13, 2011
Why affiliating with the right broker-dealer makes a big difference

Two years after their regional firm, Piper Jaffray & Co., was bought by UBS AG in 2006, Wayne Wagner, Scott Stoltenberg and Laura Swift came to the conclusion that their Davenport, Iowa, practice just didn't fit in with the global giant

Schapiro: SEC budget cuts would 'dramatically' curtail exams
REGULATION AND LEGISLATION MAR 11, 2011
Schapiro: SEC budget cuts would 'dramatically' curtail exams

Head of commission says GOP proposal would lead to big reduction in number of firm audits

Bill Gross: Who will buy Treasuries when the Fed doesn't?
RIA NEWS MAR 11, 2011
Bill Gross: Who will buy Treasuries when the Fed doesn't?

The question really is at what yield and what are the price repercussions if the adjustments are significant, writes the Pimco bond guru.

Surest sign property market is headed up? Rise in 'jerk' insurance
RIA NEWS MAR 09, 2011
Surest sign property market is headed up? Rise in 'jerk' insurance

Sellers -- including the FDIC -- increasingly requiring buyers to share in potential windfall profits; 'chump tax'

Dallas planner describes firm's terror during shooting of two reps
RIA NEWS MAR 07, 2011
Dallas planner describes firm's terror during shooting of two reps

Registered rep and financial planner Bill Carter was sitting in his office with two clients when he noticed the sound of ambulance sirens drawing closer.

RIA NEWS MAR 04, 2011
Finra: Lincoln Financial gave workers shared passwords for clients' accounts

Finra claims that Lincoln Financial gave workers shared passwords for clients' accounts. All told, the regulator says more than 1 million records were viewed over a seven-year period.