NASAA today said advisers have until April 30 to sign up for a coordinated review program offered by state regulators.
Judge says claimant knew $3.1M salary offer was in error; 'eyes wide open'
New data shows that nearly one out of every three high net-worth filers were audited by the IRS in 2011 -- and that percentage could go up this year.
Some companies would benefit, but others would take a hit to earnings
Bob Mulholland, who was head of the wealth-management adviser group, was named head of wealth management and investment solutions
Even though roughly 3,000 investment advisers set to switch their registration from the SEC to the states by this summer, the commission's oversight burden will still be heavy. Limited resource means the regulator must conduct exams more efficiently, which translates to zeroing in on riskier practices.
State regulators said they'll help coordinate reviews among states for some midsize investment advisers who must switch to state oversight from Securities and Exchange Commission registration as prescribed by the Dodd-Frank financial reforms measure. <a href=http://www.investmentnews.com/article/20111207/FREE/111209948><b>(Read more)</b></a>
Industry groups are looking at getting behind proposals that would prohibit members of Congress and others involved in the legislative process from trading stocks or commodities based on nonpublic information related to their work in government
The following is an edited version of a speech given Sept. 12 by Elisse B. Walter, a member of the Securities and Exchange Commission, in Wichita, Kan., at the annual conference of the North American Securities Administrators Association Inc.
Federated Investors Inc.'s pending acquisition of $5 billion in money market fund assets from Fifth Third Bancorp could be just the beginning of a spending spree.
IRI agrees SS claiming strategies are crucial to a holistic retirement income plan. Send your SS questions to me and I'll post my answers.
After a recent appearance on Consuelo Mack's WealthTrack <a href=http://www.investmentnews.com/section/video?playerType=CMWealth&bctid=1537880225001>(watch here)</a> discussing Social Security, <i>InvestmentNews</i> contributing editor Mary Beth Franklin quickly received more than 100 inquiries from advisers and investors about strategies and techniques for most effectively tapping this cornerstone of retirement income.
Implementing a “Buffett rule” to require a minimum 30 percent tax rate for the highest U.S. earners would raise $31 billion over the next decade, according to a government estimate.
Americans who work with financial advisers are more conficent about their retirement prospects.
The latest Retirement Confidence Survey is out today. For the 22nd year, the Employee Benefits Research Institute and Matthew Greenwald & Associates have asked American workers about their retirement dreams and concerns
