A federal certification would strain resources; some simple approaches help
By the time the clients get a halfhearted call from someone whom they have never met, asking them to keep their business with the firm, they have already heard a much more compelling argument from someone that they are used to trusting: their adviser
Seeking to enlarge its footprint in the small- and midmarket-retirement-plan area, Neuberger Berman LLC has brought on a trio of wholesalers
How would you like to fly on a personal jet, belong to a fancy country club and have a personal trainer — all on someone else's dime?
The SEC's action last week in setting new deadlines for midsize financial advisers' switch to state registration should assuage many about the lack of a clear timetable
The Ohio Division of Securities issued a notice that it intends to file a cease-and-desist order against a banned broker who allegedly continued to act as an investment adviser
There were 316,812 buy trades placed in the retail-municipal-bond market last month, according to data from BondDesk Trading LLC
Scrutiny over whether broker-dealer representatives are employees or independent contractors is heating up again in California as a bill works its way through the state Legislature that would punish firms for willful misclassification
BondWorks already in beta with 20K customers; new wealth management platform three years in the making
A Fidelity survey of married couples finds that they aren't on the same page when it comes to retirement planning, finances.
A raft of likely new taxes and rising taxes will hit the well-off hard in the wallet, say planning experts. How hard? Some can expect double-digit hikes. Yikes.
Report indicates nearly 50 have bolted since firm has zeroed in on stability, liquidity of fund firms
Planned regulations will hike the standard of care for those who advise DC plans. That should give RIAs a good chance of picking off assets from brokers and wirehouse advisers.
With retail investors exiting municipal bonds for the past six months because of sharply rising interest rates and much-publicized default fears, the asset class now represents an island of high-quality value in a sea of relatively expensive fixed-income options
MF Global boss received no favoritism, regulator's CEO says; decision 'never bubbled up' to senior management
Allegations of document destruction is latest in long list of complaints about Commission
Small B-D in Georgia ceases operations; sold $215K of preferred stock in Provident private placement
Whether Sallie Krawcheck's (pictured) Merrill Lynch brokers and Bank of America bankers can live happily ever after — and produce greater profits as a result of their marriage — is being put to the test at the nation's largest financial institution
Global wealth boss said company lost 35 reps to independent B-Ds last year, but picked up 25
