Industry News

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NEWS EQUITIES JUN 19, 2014
This is the way long-term bull markets survive and thrive

Early equals wrong and it isn't until the masses buy every dip that bull markets begin to top out.

By Bloomberg
NEWS INDUSTRY NEWS JUN 19, 2014
Natural gas looks to burn clean for investors for some time

Obama's greenhouse-gas emissions plan combined with growing domestic supply and global demand excite the commodity's bulls.

By Jeff Benjamin
NEWS FIXED INCOME JUN 19, 2014
Bill Gross bulls butt heads with bears in great bond debate

With Treasury yields at historically low levels, the stakes are rising as the Fed cuts back the bond buying that's held down borrowing costs on trillions of dollars of debt from governments to companies and individuals.

By Gregory Crawford
NEWS ALTERNATIVES JUN 19, 2014
REIT begins trading on NASDAQ

United Development Funding IV launches tender offer in conjunction with listing.

By Minda Smiley
NEWS ALTERNATIVES JUN 19, 2014
Finra holds off sending nontraded REIT share price rule to SEC

Regulator still reviewing industry comments on rule to give investors better handle on share values.

By Bruce Kelly
NEWS RETIREMENT PLANNING JUN 19, 2014
Potholes litter road to ETF investment by DC plans

Even as the technical barriers are eclipsed, doubts remain over cost and utility.

By Ari I. Weinberg
NEWS RIAS JUN 19, 2014
Turning advice on its head

United Capital's Joe Duran is hellbent on changing the industry.

By DJAMIESON
NEWS RETIREMENT PLANNING JUN 18, 2014
Retirees suffer as brokers cash in on 401(k) rollover boom

Some brokers may have moved clients into inappropriate investments as they moved money into higher-fee IRAs.

By Gregory Crawford
NEWS RETIREMENT PLANNING JUN 18, 2014
Workplaces offer help claiming Social Security

Social Security planning has taken a giant step into the workplace, and retirement planning may never be the same

By Mary Beth Franklin
Charitable giving rises and closes in on 2007 record
NEWS RETIREMENT PLANNING JUN 18, 2014
Charitable giving rises and closes in on 2007 record

In 2013, U.S. adults donated $1,016 per capita, and some research suggests people want to give more.

By Alessandra Malito
NEWS RETIREMENT PLANNING JUN 18, 2014
Social Security support tools a big hit with financial advisers

Nationwide unwraps free access to Social Security Timing software.

By Mary Beth Franklin
NEWS WIREHOUSES JUN 18, 2014
Morgan Stanley sues convicted ex-broker for legal fees

Brokerage seeks payback of more than $3.6 million, claiming ex-broker Darin DeMizio “intentionally defrauded Morgan Stanley and concealed his fraud” while working at the firm.

By Gregory Crawford
NEWS RETIREMENT PLANNING JUN 18, 2014
The retirement apocalypse that isn't coming

Retirement isn't going the way of the carrier pigeon. Innovative retirement plans and new policies and products point to a future richer than many workers imagine.

By Gregory Crawford
NEWS LIFE INSURANCE AND ANNUITIES JUN 18, 2014
Life insurers show their hands with new VA filings

Regulatory filings reveal new living benefits, investment-focused annuities or exchange offers for existing clients.

By Darla Mercado
NEWS EQUITIES JUN 18, 2014
Next on Janet Yellen's to-do list: Winding down a $4.5T balance sheet

On Friday's menu: What's next on Yellen's to-do list. Plus: Small-cap stock weakness as a leading indicator, an SEC official dishes on PE funds, big banks are loving big mortgages, three finance questions you better be able to answer, and getting by on $6,000 an hour.

By Jeff Benjamin
NEWS LIFE INSURANCE AND ANNUITIES JUN 18, 2014
Variable annuity sales drop in 1Q and new leaders emerge

Decisions to moderate sales volume in recent years has caused changes for the bigger players

By Darla Mercado
NEWS BROKER DEALERS JUN 18, 2014
Brokerages toss around ideas about salary for Next Gen advisers

Wells Fargo is testing new models that would pay on a salary plus commission basis in effort to attract Millennials

By Mason Braswell
NEWS BROKER DEALERS JUN 18, 2014
Finra approves background checks for brokers

At its board meeting, Finra approved background checks for brokers and plans to consider requiring new information such as exam scores on BrokerCheck.

By Mark Schoeff Jr.
NEWS REGULATION AND LEGISLATION JUN 18, 2014
Ketchum calls controversial automatic data collection key to catching rogue brokers

<i>Exclusive:</i> Having <a href="//www.investmentnews.com/article/20140413/REG/304139997&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">pulled back efforts</a> to become the regulator for advisers, Finra CEO Ketchum has plans to discuss BrokerCheck at this month's board meeting.

By Mark Schoeff Jr.
NEWS INDUSTRY NEWS JUN 17, 2014
Morgan to pay $5M for supervisory lapses

Connecticut securities regulators say the firm had out-of-date procedures and delayed handing over email records to examiners, leading to this settlement.

By Andrew Leigh