Advisor News

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REGULATION AND LEGISLATION JUN 25, 2014
RIAs should be forced to hire outside examiners: Gallagher

Afraid of another Madoff scandal, SEC commissioner Daniel Gallagher says RIAs should be forced to hire outside examiners. <i><a href=&quot;http://www.investmentnews.com/article/20140519/FREE/140519914&quot;>Plus: More from Finra's annual conference</a></i>

By Mark Schoeff Jr.
Envestnet to acquire Placemark Holdings
FINTECH JUN 24, 2014
Envestnet to acquire Placemark Holdings

The acquisition is aimed at bolstering the firm's market presence in unified managed account services.

By Alessandra Malito
REGULATION AND LEGISLATION JUN 24, 2014
Finra fee hike not a terrible idea

By MFXFeeder
PRACTICE MANAGEMENT JUN 24, 2014
House panel denies SEC additional funding for RIA exams

As in the past, budget is short of what agency says it needs to increase oversight of advisers.

By Mark Schoeff Jr.
RIA NEWS JUN 24, 2014
TD Ameritrade, Schwab put third-party exams on lawmakers' radar

Without outright endorsing the idea, executives say outside contractors should be considered as a way to increase oversight of RIAs.

By Mark Schoeff Jr.
RETIREMENT PLANNING JUN 24, 2014
Morningstar-HelloWallet deal ups the ante for financial wellness services

Viewing workers' retirement savings in the context of their full financial picture may be the next frontier for retirement plan services.

By Darla Mercado
REGULATION AND LEGISLATION JUN 24, 2014
SEC homing in on alternatives, Commonwealth CCO says

Live from the FSI OneVoice Broker-Dealer Conference: Exams do 'deep dive' on sale of products such as nontraded REITs, Commonwealth's Tolley says. <b><i> <a href=&quot;http://www.investmentnews.com/section/video?playerType=Events&amp;bctid=3117749314001&amp;date=20140128&quot;>Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.</a> </b></i>

By Bruce Kelly
REGULATION AND LEGISLATION JUN 24, 2014
PIABA seeks more Capitol Hill influence in 2014

Lawyers plan to lobby Congress to curb mandatory arbitration and regulators' readiness to clear brokers' names.

By Mark Schoeff Jr.
RETIREMENT PLANNING JUN 23, 2014
Putnam's Reynolds to Congress: To grow the economy, help boost savings

Study tied to preserving tax incentives for 401(k) plans.

By Mark Schoeff Jr.
Warning: This regulator eats what it kills
PRACTICE MANAGEMENT JUN 23, 2014
Warning: This regulator eats what it kills

At Finra, fines are less than 10% of the annual budget but make no mistake, they are important, says Mark Elzweig.

By Mark Elzweig
RETIREMENT PLANNING JUN 23, 2014
More millionaires than ever in 2013

Surging equity markets and improving economies contributed to double-digit growth in both population and wealth levels.

By Minda Smiley
REGULATION AND LEGISLATION JUN 23, 2014
Finra seeks to tighten investor dispute rules

New proposed rule would prevent people with industry experience from becoming &#8220;public arbitrator.&#8221;

By Mark Schoeff Jr.
RETIREMENT PLANNING JUN 23, 2014
Ways and Means to vote on extending deduction for IRA charitable contributions

One of several tax extenders the committee will take up Thursday.

By Mark Schoeff Jr.
RETIREMENT PLANNING JUN 23, 2014
“Top 40” host Casey Kasem's disappearance holds lessons for advisers

&#8220;American Top 40&#8221; host Casey Kasem's disappearance has been resolved, but advisers have plenty to learn from the bitter family feud that's emerged over the radio legend's care in old age.

By Darla Mercado
PRACTICE MANAGEMENT JUN 23, 2014
Firms use looming bonus disclosure rule to turn up the heat on recruits

Some branch managers are telling prospects that they should consider moving now before Finra's looming bonus disclosure rule goes into effect.

By Mason Braswell
INDEPENDENT BROKER DEALERS JUN 23, 2014
Sterne Agee Group in deal to acquire midsize independent broker-dealer WRP Investments

Match 'made in heaven' says president of WRP, which has 350 reps and had $48 million in gross revenue in '13.

By Bruce Kelly
OPINION JUN 22, 2014
Industry preparing for an adviser SRO

By MFXFeeder
EQUITIES JUN 20, 2014
Iraq's instability spreads to the world's weaker currencies

<i>Breakfast with Benjamin:</i> Currencies feeling pressure from Iraq. Plus: Gold bugs still not convinced of the next big move, select energy stocks correlate with Iraq unrest, Americans are unable to save money in this economy, and the SEC zeros in on liquid alternative funds.

By Jeff Benjamin
RETIREMENT PLANNING JUN 20, 2014
Sting has a reported $300M, but will limit kids' inheritance

Joining a chorus of wealthy parents, the musician says too much money might turn out to be an albatross for his children.

By Liz Skinner
REGULATION AND LEGISLATION JUN 20, 2014
Adviser groups open their wallets to reach members of Congress

Interest groups lobbying Congress on behalf of financial advisers spent anywhere from $20,000 to nearly $2 million in the first quarter. Mark Schoeff reports on who spent what.

By Mark Schoeff Jr.