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RETIREMENT PLANNING NOV 13, 2011
Special report: The 2011 InvestmentNews/Moss Adams Staffing & Compensation Study

By Mark Bruno
INDUSTRY NEWS NOV 11, 2011
Pay to play

LPL has informed its reps that it will be raising several of their fees come Jan. 1. One of the bump-ups: a 40% hike in the so-called 'affiliation' fee. | <a href=http://www.investmentnews.com/article/20111110/CHART/111119993>What other B-Ds charge &amp;raquo</a>

By John Goff
INDUSTRY NEWS NOV 11, 2011
Causes of tech snafu with MSSB 3D platform remain uncertain

By Davis Janowski
MSSB down on Europe and Japan, high on munis, U.S. large caps
INDUSTRY NEWS NOV 11, 2011
MSSB down on Europe and Japan, high on munis, U.S. large caps

Global economy going through rough patch, but end in sight: 'cleansing, catharsis and purging'

By Evan Cooper
Cohan on Corzine: Oops, he did it again
REGULATION AND LEGISLATION NOV 11, 2011
Cohan on Corzine: Oops, he did it again

The demise of Jon Corzine's brokerage shows little has changed in how the former Goldman boss -- or Wall Street itself -- do business since the demise of Lehman Brothers. Author William D. Cohan weighs in.

By William D. Cohan
Corzine's B-D to be liquidated
REGULATION AND LEGISLATION NOV 11, 2011
Corzine's B-D to be liquidated

SIPC files suit against MF Global claiming brokerage can't pay clients

By John Goff
RIAS NOV 11, 2011
Broker-hiring protocol seeing more dropouts

The brokerage industry's recruitment protocol, which is credited with reducing litigation when advisers change firms, might be becoming a victim of its own success

By Dan Jamieson
RETIREMENT PLANNING NOV 11, 2011
Saying 'I do' to prenup money advice

Before they march down the aisle, engaged couples rarely discuss who'll pay the electric bill or how much to save once the knot is tied. Maybe they should.

By Lavonne Kuykendall
Companies discover cash back the key to boosting stock price
INDUSTRY NEWS NOV 10, 2011
Companies discover cash back the key to boosting stock price

Dividends, buybacks attracting yield-hungry investors; bigger payouts coming in 2012

By John Goff
Dividend-centered fund on a run, up 5.5% this year
INDUSTRY NEWS NOV 10, 2011
Dividend-centered fund on a run, up 5.5% this year

Payden Value Leaders rejiggered, now zeroing in on large caps with hefty payouts; it's working, too

By Jeff Benjamin
Stressed BofA, Citi may have to rethink dividend plans
RETIREMENT PLANNING NOV 10, 2011
Stressed BofA, Citi may have to rethink dividend plans

Fed's tougher capital tests could throw a spanner into the works for buybacks as well

By John Goff
Clients hesitant to buy stocks, but corporations can't get enough
INDUSTRY NEWS NOV 10, 2011
Clients hesitant to buy stocks, but corporations can't get enough

Business buyback binge eases concerns about another recession; 'a testament from CEOs'

By John Goff
INDUSTRY NEWS NOV 10, 2011
Sketches of pain

Adviser Carl Richards is gaining something of a cult following in the financial advice industry -- thanks to humorous drawings that illustrate the flaws in clients' approaches to investing . Here are ten of Richards' best. <b><a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&amp;Date=20111109&amp;Category=FREE&amp;ArtNo=110909910&amp;Ref=PH&amp;Params=Itemnr=1>Read about Richards &amp;raquo; | <a href=http://www.investmentnews.com/article/20111109/FREE/111109932>The hot new alternative investment? Art &amp;raquo;</a></b>

By John Goff
Wealth managers demanding — and getting — huge salaries in Asia
RETIREMENT PLANNING NOV 10, 2011
Wealth managers demanding — and getting — huge salaries in Asia

Competition fierce as number of millionaires in Asia set to double by 2015; plenty of offers on the table

By John Goff
Thanks to economy, 80 — yes, 80 — is the new 65
RETIREMENT PLANNING NOV 09, 2011
Thanks to economy, 80 — yes, 80 — is the new 65

Survey shows many workers will have to stay on the job years longer before they can afford to retire

By John Goff
REGULATION AND LEGISLATION NOV 09, 2011
Free pass

Finra acknowledged that disgraced Wall Street titan Jon Corzine was given a waiver for his Series 24 and Series 7 exams, even though Corzine had been out of the brokerage industry for years. | <b>Readers react angrily:</b> <i>'One rule for one, another rule for the rest of us'</i> | <a href=http://bit.ly/uUgU7C>Join the debate</a>

By John Goff
REGULATION AND LEGISLATION NOV 09, 2011
Higher taxes are on the horizon

Here are some examples of ways that financial advisers can help clients to reduce their tax burden.

By Jeff Benjamin
REGULATION AND LEGISLATION NOV 09, 2011
Finra gets another black eye

The SEC's announcement last week that it had threatened to sanction Finra because a senior official doctored minutes from internal staff meetings is an embarrassing black eye to the securities industry's watchdog as it pushes to expand its authority to regulate investment advisers

By Liz Skinner and Bruce Kelly
REGULATION AND LEGISLATION NOV 09, 2011
Mary Schapiro lands in hot seat again

For SEC Chairman Mary Schapiro, last week's dust-up involving Finra is the latest in a string of embarrassments she has endured since taking over the embattled agency in 2009

By Liz Skinner
I knew them when: Pre-IPO investing goes retail
INDUSTRY NEWS NOV 08, 2011
I knew them when: Pre-IPO investing goes retail

New closed-end fund lets clients bet on future stock market stars

By Andrew Osterland