Industry News

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NEWS BROKER DEALERS DEC 14, 2012
Why this 'Goldilocks' environment favors advisers on the move

2013 will be an active year for broker recruiting.

By Mark Elzweig
NEWS FINTECH DEC 13, 2012
LPL lands another big IT exec

Lochan to oversee B-Ds Business Technology Services' risk management and information security teams

By Davis Janowski
Fed spikes volatility in bonds
NEWS FIXED INCOME DEC 13, 2012
Fed spikes volatility in bonds

Linking monetary policy to unemployment, inflation drive big fluctuations.

By DJAMIESON
NEWS RETIREMENT PLANNING DEC 13, 2012
Are Roth IRA assets safe from Washington's revenue hunt?

AMT could provide backdoor access to Roth IRA gold mine

By Jeff Benjamin
NEWS BROKER DEALERS DEC 12, 2012
Cetera offers succession buyouts

Program targets regional directors and small- to mid-sized BDs.

By Gregory Crawford
NEWS FINTECH DEC 12, 2012
Tech integration is no nearer

By Janowski Davis
Advisers see hefty return on assets in 2013
NEWS RIAS DEC 11, 2012
Advisers see hefty return on assets in 2013

Despite shortfall from this year's forecast, advisers still bullish.

By Jeff Benjamin
NEWS INDUSTRY NEWS DEC 11, 2012
Why tax hikes will be worse than spending cuts

By Paul Menchaca
Senators: Don't futz with retirement savings plans
NEWS RETIREMENT PLANNING DEC 11, 2012
Senators: Don't futz with retirement savings plans

Bill introduced to protect tax advantages for 401(k)s, IRAs and the like

By Darla Mercado
NEWS RETIREMENT PLANNING DEC 11, 2012
Pension envy for employees not on the government's dime

DC plan participants jealous of generous defined-benefit plans, study finds

By Darla Mercado
Merrill signs up a passel of advisers
NEWS WIREHOUSES DEC 11, 2012
Merrill signs up a passel of advisers

Ten from firm's top three competitors join in November.

By AOSTERLAND
NEWS INDUSTRY NEWS DEC 11, 2012
Giving to donor-advised funds explodes, Schwab reports

Tax uncertainty over estate and gift tax exemptions fueling surge

By Liz Skinner
Surprise! 401(k)s rode out the Great Recession just fine
NEWS RETIREMENT PLANNING DEC 11, 2012
Surprise! 401(k)s rode out the Great Recession just fine

Median balances up substantially; savings still inadequate, though

By Mary Beth Franklin
Estate department: Inheritance tax changes likely to be retroactive
NEWS RIAS DEC 11, 2012
Estate department: Inheritance tax changes likely to be retroactive

Congress won't act until the new year, planner predicts, then will turn back the clock

By Liz Skinner
Brits consider recruitment code like U.S. version
NEWS RIAS DEC 11, 2012
Brits consider recruitment code like U.S. version

U.S. protocol credited with reducing litigation from adviser hiring

By DJAMIESON
NEWS BROKER DEALERS DEC 11, 2012
Where the largest indie B-Ds clear

Clearing firms used by the independent broker-dealers with the most revenue

By mlanche
Buffett's faith in this sector finally starting to pay off
NEWS INDUSTRY NEWS DEC 11, 2012
Buffett's faith in this sector finally starting to pay off

Rally in bank stocks pushes share price of Berkshire to 13-month high

By John Goff
NEWS RETIREMENT PLANNING DEC 10, 2012
Worker suit over Verizon retirement plan handoff now a class action

Judge grants status in high-profile case; baton handed to Prudential

By Darla Mercado
Clients kind of blue over IBM's 401(k) surprise
NEWS RETIREMENT PLANNING DEC 10, 2012
Clients kind of blue over IBM's 401(k) surprise

Corporate bellwether's move to annual lump sum match seen as coming attraction; new planning required

By Darla Mercado
MK deal closed — and the rejiggering starts at Raymond James
NEWS BROKER DEALERS DEC 10, 2012
MK deal closed — and the rejiggering starts at Raymond James

Just a week since the acquisition was finalized, RJ announces appointments and promotions

By AOSTERLAND