Instead of fighting with advisers over the estimated $1.5 trillion in 401(k) rollover assets, record keepers may want to work with them.
Trust Company of America is building a future-oriented interface
Sanders Morris Harris Group Inc., a wealth management broker-dealer that owns Edelman Financial Services LLC, indicated in its quarterly report that regulators have decided to recommend disciplining the company.
FBR Capital Markets downgraded The Charles Schwab Corp. last week on concerns that the company could face more litigation from investors.
The Charles Schwab Corp. made several technology announcements this morning at its annual Impact conference in Boston.
Generally speaking, financial advisers aren't exactly overjoyed when one of their industry associations raises its dues
As the new Dodd-Frank legislation requires, the Securities and Exchange Commission now has six months to study whether a fiduciary standard; a first step in this process is gathering input.
Republican promises to revisit the financial reform law aren't fazing Securities and Exchange Commission Chairman Mary Schapiro.
Moody's Investors Service late yesterday downgraded John Hancock Life Insurance Co. (USA)'s insurance financial strength ratings, citing problems in the carrier's long-term-care insurance business.
What is the purpose of disclosing a conflict of interest? The answer de-pends on whether a financial adviser is a fiduciary.
Judge questions bank's $75M settlement with SEC over subprime disclosure; invisible men?
Hoenig says Dodd-Frank doesn't prevent excessive risk-taking; 'greatest risk to the U.S. economy'
The wealthiest investors in the U.S. put less of their holdings into structured products than the less affluent, according to a study commissioned by the Securities Industry and Financial Markets Association.
After seeing their retirement savings devastated by the financial crisis, Americans may be more open to annuities as a way to ensure an income stream and protect against market downturns, according to an insurance industry leader.
Buddy Donahue -- the 'driving force' behind the SEC proposal on fund fees -- is leaving the agency. The upshot? The final rule may look a whole lot different than the current model.
The U.S. Securities and Exchange Commission said Andrew “Buddy” Donohue will leave the agency in November after serving more than four years as director of the Division of Investment Management.
Tougher regulation in the 401(k) marketplace is driving “401(k) dabblers” out of the plan advisory business, according to an industry executive.
Although it may be one of the less glamorous parts of the JPMorgan Chase & Co. empire, the bank's J.P. Morgan Clearing Corp. subsidiary has done something exciting in the area of technology.
The split in control of Congress means that legislative gridlock will shift the lead on pension issues to executive-branch agencies over next two years, pension industry lobbyists said.
Investment management designation gets approval from the American National Standards Institute
