Brokers allowed to trade as principals in certain accounts.
Rep. Frank's parting gift won't assuage Senate, Ag Committees' doubts
Firms with alts like BlackRock, JPMorgan have muscle to seize the opportunity
Market share down, says Advizent boss, but Wall Street brokerages embracing RIA concepts
Raising of estate tax exemption to $5M lessens need for policies that shield assets.
Federal court rules in favor of agent who maintained sites critical of insurer, but who will get paid?
Some expect a fiscal deal only after new Congress comes to town.
Meaningful compromise in Washington highly unlikely before deadline; will small deals avert the cliff?
The fiscal policy cycle is turning to a new phase, away from the tremendous stimulus and spending of the past five years to austerity and cuts
House Speaker John Boehner could not bring his plan B to a vote — he pulled it once it was clear he didn't have the votes — much less pass it, and now the complexion of the negotiations has changed again.
Ameriprise workers filed suit in 2011, claiming firm profited from costly plan options
The fiscal cliff has given way to a ping-pong match. The volleys will occur between the House and Senate, as each chamber tries to settle on one palatable measure. While the ball goes back and forth over the net, it's becoming clear how investment taxes may fare.
There are three pressing deadlines that Congress is facing and the fiscal cliff is the least scary of those three
Looking for up-to-date info on the financial advice industry? Here's the entire 2013 Databook, in a pdf.
Eagle closes buyout of minority shareholders in quant manager.
As a financial professional, your long-term success is defined by the value you deliver to your clients, and enduring success is often driven by making sure one's business efforts are a clear reflection of personal values. But, where does your broker-dealer stand on values – are they a positive reflection of you and your business? This white paper from Cambridge Investment Research addresses these key questions and more.
Ownership and transition of ownership is one of six trends* that will impact the future of independent advice for the next 10 to 20 years. As rep-advisors' practices become valued into the millions, ownership considerations loom large.
