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BROKER DEALERS FEB 13, 2013
Clouds gathering over independent B-D owner Belesis

As Nemo approaches, Bruce Kelly reports that a dark patch also appears to be gathering over B-D owner -- and media darling -- Anastasios 'Tommy' Belesis.

By Bruce Kelly
REGULATION AND LEGISLATION FEB 13, 2013
Obama, 2.0: More Terminator than conciliator

It's Inauguration Day for President Barack Obama. In his second term, expect more Terminator than conciliator.

By John Goff
INDUSTRY NEWS FEB 13, 2013
New family tradition: Not opening a 529

Miniscule percentage of households have put money into college savings account, GAO finds

By Liz Skinner
EQUITIES FEB 12, 2013
Stocks: Too far, too fast?

Some market watchers say equity investors are too complacent about risks, but new indicators back the bulls

By Mark Luschini
INDUSTRY NEWS FEB 12, 2013
Legg Mason close to naming new CEO: Report

Strategy unclear as firm deals with Peltz, who seeks breakup.

By Jeff Benjamin
RIAS FEB 12, 2013
'Bleeding Kansas' a worry for muni investors

By Bloomberg
RETIREMENT PLANNING FEB 12, 2013
The evolving nonlisted-REIT industry

By Bob Aisner
A fourth asset class? Investors are piling in
INDUSTRY NEWS FEB 12, 2013
A fourth asset class? Investors are piling in

Hedged-equity funds offer downside protection — and some upside

By Jeff Benjamin
RIAS FEB 12, 2013
The largest broker-dealer RIAs

By mlanche
Legg Mason CEO stepping down, turnaround elusive
MUTUAL FUNDS FEB 12, 2013
Legg Mason CEO stepping down, turnaround elusive

Four years ago, Mark Fetting took over the reins at the mutual fund giant in a bid to turn the company around. It hasn't worked out. Now, Fetting is on the way out.

By JKEPHART
Gold standard? Why not a sand standard, Edelman asks
INDUSTRY NEWS FEB 12, 2013
Gold standard? Why not a sand standard, Edelman asks

Adviser bashes GOP plan to consider return to money backed by metal; others not hot on the idea, either

By AOSTERLAND
ETFS FEB 11, 2013
Lawsuit against iShares puts spotlight on securities lending by ETFs

Pension funds contend that BlackRock unit violated its fiduciary duty.

By JKEPHART
SEC top cop Khuzami exiting
REGULATION AND LEGISLATION FEB 11, 2013
SEC top cop Khuzami exiting

After much speculation, the SEC today announced that its top cop will be stepping down in about two weeks.

By Gregory Crawford
INDUSTRY NEWS FEB 11, 2013
Hi-yo silver, away, as bets on the metal soar

Precious metal on a remarkable role, even outpacing gold; no let up in sight

By John Goff
REGULATION AND LEGISLATION FEB 11, 2013
Advisory firm skinned investors by claiming 'skin in the game': SEC

Aladdin Capital agrees to settle charges that it misled retirement plans about CDOs

By Liz Skinner
RETIREMENT PLANNING FEB 10, 2013
IRS plans to update guidance on Roth options

Expanded options are contained in the American Tax Relief Law, which was signed by President Barack Obama on Jan. 2.

By Robert Steyer
FINTECH FEB 10, 2013
Q&A: LPL Financial's Victor Fetter Outsider brings fresh eyes to the world of advisers

The former chief information officer of Online at Dell had never worked in the brokerage industry before.

By Bruce Kelly
REGULATION AND LEGISLATION FEB 10, 2013
Finra backtracks on plan to end 5% markup rule

Commenters had warned against eliminating it without setting a new standard

By DJAMIESON
INDUSTRY NEWS FEB 10, 2013
SEC: Charity helping orphans a scam

We The People charged commissions on sales of bogus annuities, agency alleges

By Darla Mercado
RETIREMENT PLANNING FEB 10, 2013
Retirement planning can hurt health

Higher Medicare premiums threaten traditional retirement income planning

By Mary Beth Franklin