E*Assist's Compliance Officer Report Card assists compliance officers in tracking the advisers they oversee.
The new benefit will go with UBS’s target retirement funds and other investment options.
Treasury Secretary Henry Paulson this morning expressed optimism that a temporary growth plan can be enacted quickly.
Although not a major overhaul of its product, Version 3.0 of Money Tree Software Ltd.'s Total Planning Suite offers new reporting features and an updated interface that make it an improvement over the previous incarnation.
The typical American financial adviser is 50.4 years old, works with 250 to 500 clients and manages $25 million to $100 million in assets.
Upon implementation of the Pension Protection Act one year ago, sponsors of 401(k) plans gained the opportunity to limit their liability for advice given to participants under eligible investment advice arrangements.
Reluctant as we are to call for the establishment of another self-regulatory organization, we have concluded it is the best structure for the regulation of the investment advisory industry.
Asset management might be at the heart of what drives an individual toward financial advice, but savvy financial planners are realizing that it takes more than asset management to bring lasting value to the advisory relationship.
A total of $50 million in 401(k) assets moved into diversified equities from fixed-income investments during December, according to the Hewitt 401(k) Index.
Knight Capital has bought EdgeTrade, a privately-held agency-only trade execution and algorithmic software company.
Incentive stock options are thought of more favorably than non-qualified stock options because ISOs can create capital gains while NQOs create ordinary income.
Ameriprise Financial Inc. has experienced the defection of another top representative, this time a leading producer in its franchisee group, to LPL Financial.
Employee plaintiffs are lining up to sue the major brokerage firms over losses in company stock.
The Financial Industry Regulatory Association encourages investors to check on the professional backgrounds of brokers by using its BrokerCheck system.
With the purchase, NYSE Euronext hopes to further improve their connectivity, transaction and data-management solutions.
If the timing is right, there’s a compelling case for converting a traditional IRA to a Roth IRA, even though Roth conversions are a tough sell.
Starting in 2009, new rules will change the landscape of the 403(b) industry, making the plans look more like 401(k)s and increasing their attractiveness to savvy advisers in the process, industry leaders believe.
