Advisor News

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REGULATION AND LEGISLATION AUG 12, 2013
SEC 'not alone' in global regulatory world: White

Efforts with other agencies for investors, companies.

By Mark Schoeff Jr.
RIA NEWS AUG 12, 2013
Focus bolsters recruiting

By AOSTERLAND
INDEPENDENT BROKER DEALERS AUG 12, 2013
Focus beefs up breakaway-broker recruiting team

New hires to target largest wirehouse teams looking to go independent.

By AOSTERLAND
RIA NEWS AUG 11, 2013
Attracting RIAs with more services

By DJAMIESON
RETIREMENT PLANNING AUG 11, 2013
W.P. Carey joins nontraded-REIT liquidity conga line

By Andrew Leigh
RIA NEWS AUG 11, 2013
Channel changes and hybrids keep firms on their toes

By DJAMIESON
RIA NEWS AUG 11, 2013
SEC's Aguilar: Custody rules may prevent another Madoff

New guidelines won't be overly burdensome, commissioner says.

By Mark Schoeff Jr.
RIA NEWS AUG 11, 2013
Integrations still on the tech road map

By Janowski Davis
RETIREMENT PLANNING AUG 11, 2013
ERISA lawyers: Professor's take on 401(k)s is bunk

Say plan sponsors should follow 'prudent process' to evaluate service providers.

By Darla Mercado
REGULATION AND LEGISLATION AUG 11, 2013
Finra sues ex-employee for sexual harassment

Examiner made "unwelcome romantic overtures' to colleague, harassed HR director, suit claims.

By Michael Shagrin
RETIREMENT PLANNING AUG 11, 2013
Hutcheson's tumble offers lessons

ERISA has teeth, outsourcing takes work are just two.

By Darla Mercado
FINTECH AUG 11, 2013
A tech reporter and columnist's farewell

Departing <i>InvestmentNews</i>, Davis Janowski has some advice for the advisory industry

By Janowski Davis
PRACTICE MANAGEMENT AUG 11, 2013
Suit alleges Ponzi scammed investors out of $300M

Money manager claimed 432% returns while S&amp;P 500 sank.

By Michael Shagrin
EQUITIES AUG 09, 2013
The Takeaway: Are you in the secret wealth management cult?

By Joshua Brown
FINTECH AUG 09, 2013
A tech reporter's farewell

Departing <i>InvestmentNews</i>, Davis Janowski has some advice for the advisory industry.

By Janowski Davis
REGULATION AND LEGISLATION AUG 09, 2013
Keenan beats out two others for small-firm seat on Finra board

CEO of St. Bernard Financial tops president of Mutual Trust Co. of America, general counsel of Abel/Noser.

By DJAMIESON
FINTECH AUG 09, 2013
B-Ds to get compliance insight from updated RegEd service

Consultants to provide added layer of analysis amid more focus on risk.

By Michael Shagrin
RETIREMENT PLANNING AUG 09, 2013
Getting personal with Social Security-claiming strategies

Advising my brother's widow on when to claim survivor benefits.

By Mary Beth Franklin
PRACTICE MANAGEMENT AUG 09, 2013
UBS charging clients fees to create financial plans

By AOSTERLAND
REGULATION AND LEGISLATION AUG 08, 2013
Finra sues former employee for sexual harassment

Operations examiner made 'unwelcome romantic overtures' to colleague, suit claims.

By Michael Shagrin