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Investors on Buffett rule: Go ahead, soak the rich
RETIREMENT PLANNING SEP 23, 2011
Investors on Buffett rule: Go ahead, soak the rich

A new poll shows that financial services insiders overwhelmingly support the Buffett Rule, which would require the wealthy to pay at least the same tax rate as middle-class earners | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&amp;Date=20110923&amp;Category=FREE&amp;ArtNo=923009997&amp;Ref=PH>What advisers need to know about Bam's tax plan</a>

By Bloomberg
RIAS SEP 23, 2011
Bigger in Texas? Dallas RIA ties up with Oklahoma firm

EFG and Burns Advisory merge; 'scale in this business is key'

By Andrew Osterland
Subaccounts now squarely on SEC's radar
REGULATION AND LEGISLATION SEP 23, 2011
Subaccounts now squarely on SEC's radar

Commission alert about possible abuses linked to subdivided account arrangements

By Liz Skinner
RETIREMENT PLANNING SEP 23, 2011
Whitney's flood of muni defaults more like a drip

By John Goff
RJ subs to pay $2.1M for allegedly charging jacked-up commissions
REGULATION AND LEGISLATION SEP 23, 2011
RJ subs to pay $2.1M for allegedly charging jacked-up commissions

Finra claims two B-Ds established inflated schedules and rates on securities' transactions; brokerages neither admitted nor denied the charges

By Bruce Kelly
INsider: Barney Frank — the financial services industry's unlikely ally
REGULATION AND LEGISLATION SEP 23, 2011
INsider: Barney Frank — the financial services industry's unlikely ally

In a surprising twist, the influential Democrat has helped slow down efforts to expand fiduciary duty

By Bloomberg
New group to go to bat for retirement plan advisers
RETIREMENT PLANNING SEP 23, 2011
New group to go to bat for retirement plan advisers

Among other things, NAPA to fight to keep tax breaks for retirement savings

By Mark Schoeff Jr.
Bet on Bernanke producing 'monster' gains
RETIREMENT PLANNING SEP 23, 2011
Bet on Bernanke producing 'monster' gains

Ten-year Treasuries up 28% this year as fed head has managed to keep consumer prices in check

By John Goff
REGULATION AND LEGISLATION SEP 23, 2011
Obama's tax ideas irk higher-income advisory clients

Certain tax proposals President Barack Obama is seeking as part of his plan to help America &#8220;live within its means&#8221; would be especially damaging to a broad swath of financial advisory clients &#8212; and not just the superrich ones

By Liz Skinner
Buffett rule works for millennials, poll finds
REGULATION AND LEGISLATION SEP 23, 2011
Buffett rule works for millennials, poll finds

Under-30 set say wealthy should put a higher tax rate than middle-income earners

By Bloomberg
Moody's cuts ratings of BofA, Wells
INDUSTRY NEWS SEP 23, 2011
Moody's cuts ratings of BofA, Wells

Says banks probably no longer too big too fail; also lowers short-term rating on Citi

By John Goff
NAIFA sends members to Hill to fight DOL fiduciary rule
REGULATION AND LEGISLATION SEP 23, 2011
NAIFA sends members to Hill to fight DOL fiduciary rule

More than 1,000 members of the National Association of Insurance and Financial Advisors lobbied members of Congress and their staffs to try to kill a Labor Department rule that would expand the definition of a fiduciary for those providing advice about retirement plans

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 23, 2011
Market skid may prompt Roth IRA 'do-overs'

Oct. 17 may not be known officially as Mulligan Day, but affluent investors who converted their conventional IRA to a Roth last year may want to consider a &#8220;do-over&#8221; and re-characterize their account by the deadline date

By Lavonne Kuykendall
Rajaratnam guilty on all counts in insider trading case
REGULATION AND LEGISLATION SEP 23, 2011
Rajaratnam guilty on all counts in insider trading case

By Doug Cubberley
Ray of hope for solar stocks as Buffett buys in
INDUSTRY NEWS SEP 22, 2011
Ray of hope for solar stocks as Buffett buys in

$2B purchase of Topaz project could rekindle interest in sagging sector; tax credits an attraction

By John Goff
North America loaded with superwealthy — but Asia catching up
RETIREMENT PLANNING SEP 22, 2011
North America loaded with superwealthy — but Asia catching up

Three states still have more UHNW individuals than China and India combined; Asia should pass North America by in 2032

By John Goff
Senate roadblock may be last hope for SRO opponents
REGULATION AND LEGISLATION SEP 22, 2011
Senate roadblock may be last hope for SRO opponents

Bachus bill could stall in upper chamber, but observers say Finra lobbying effort might help push it through

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 22, 2011
Regulators warn about self-directed IRAs

SEC, NASA say number of complaints on the rise; $94B in accounts

By Darla Mercado
Judge upholds ex-agent's misrepresentation claims in Allstate suit
LIFE INSURANCE AND ANNUITIES SEP 22, 2011
Judge upholds ex-agent's misrepresentation claims in Allstate suit

A federal judge agreed with a 28-year veteran agent that he was muscled out of his book of business by The Allstate Corp.

By Darla Mercado
Finra's Ketchum: We can oversee advisers, too
REGULATION AND LEGISLATION SEP 22, 2011
Finra's Ketchum: We can oversee advisers, too

SRO's boss will tell Congress self-regulator 'uniquely positioned' to monitor investment advisers

By John Goff