Back in 2009, regulators predicted that 4,000 investment advisers would shift from SEC regulation to state oversight. They were slightly off.
They earn 8%-per-year delayed retirement credits plus annual COLAs
IRS also sets tax break for single filers at $5.25M
Median investment adviser under SEC regulation has $270M in AUM, 92 accounts, and eight employees
Five ex-employees of Bernard Madoff on trial accused of aiding his $17 billion fraud seek to “embarrass” Securities and Exchange Commission witnesses by asking about bungled Madoff audits, prosecutors say.
Why some financial professionals now say debt management is key to successful retirement planning
Plan advisers wanting to step up their service to 401(k) clients, and their workers need look no further than bread-and-butter debt management.
Major changes tied to the American Taxpayer Relief Act of 2012 could make charitable giving a way to soften the bite of higher taxes
From the upcoming Twitter Inc. IPO to the prospects for the United States becoming energy independent, Dan Veru, chief investment officer at Palisade Capital Management LLC, has an investment angle to share.
As stock markets flirt with record highs, steep prices make this a seller's market with few bargains, they say
Smaller companies usually climb faster at the start of a bull market. Is the economy on its way up?
BlackRock Inc. Chief Executive Officer Laurence D. Fink, whose company is the world's largest money manager with $4.1 trillion in assets, said Federal Reserve policy is contributing to “bubble-like markets.”
Fed will start easing off its tapering in March at earliest, market watchers say
Borzi offers few details but says re-proposal will cover brokers selling IRAs.
Finra's fraud allegations cited as Tony Thompson is urged to resign his role with the REIT he runs. <b>Also: <a href="http://www.investmentnews.com/article/20130811/REG/308119973">Details on Finra's initial allegations.</b></a>
Group wants coordination between SEC and DOL on contentious issue.
If it gets through House, Senate passage unlikely but the idea is out there.
Restructuring at MetLife has put two broker-dealers under one roof, and has increased the pressure on reps to sell the company's proprietary products.
As 401(k) plan advising gets closer attention from regulators, brokers are finding a way to play
Adviser to the stars Bambi Holzer is facing the wrath of regulators for allegedly lying to one of her former firms. Bruce Kelly tells the story.
