A new spirit of openness appears to be permeating Advent Software Inc.
Average net worth of white households at $113K; number closer to $6K for black households
The MDE Group Inc., a $1.3 billion institutional wealth management firm, is making an official expansion into the registered investment adviser business with the launch of Risk 3.0 Asset Management
Advocates of extending fiduciary duty to cover more financial advisers had their hopes dashed last week — at least temporarily — as the two federal agencies that have been considering such a rule acknowledged that no action will be taken this year
Commission looks to smoke out exaggerations about education, AUM; 'unlikely to graduate to larger frauds'
Agency to begin collecting data on municipal bonds from MSRB; has authority to nix tax break
Many investment advisers are busily preparing for the upcoming switch from SEC oversight to state regulation. But one compliance expert believes enforcement will drop off dramatically after the hand-off, and in some states, advisers won't even face examinations. | <b>Extra</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009999&Ref=PH>The 10 states with the most CFPs</a> | <b>Comp</b> <a href=http://www.investmentnews.com/apps/pbcs.dll/gallery?Site=CI&Date=20110923&Category=FREE&ArtNo=923009998&Ref=PH>What top RIA execs make</a>
Survey shows 53% back the Buffett rule to narrow the deficit; are candidates listening?
Banks not likely to salute; fixed-income desks would take substantial hit
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&Date=20110923&Category=FREE&ArtNo=923009997&Ref=PH>What advisers need to know about Bam's tax plan</a>
Commission alert about possible abuses linked to subdivided account arrangements
Finra claims two B-Ds established inflated schedules and rates on securities' transactions; brokerages neither admitted nor denied the charges
In a surprising twist, the influential Democrat has helped slow down efforts to expand fiduciary duty
Among other things, NAPA to fight to keep tax breaks for retirement savings
Ten-year Treasuries up 28% this year as fed head has managed to keep consumer prices in check
Certain tax proposals President Barack Obama is seeking as part of his plan to help America “live within its means” would be especially damaging to a broad swath of financial advisory clients — and not just the superrich ones
Under-30 set say wealthy should put a higher tax rate than middle-income earners
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
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 “do-over” and re-characterize their account by the deadline date
