Advisor News

Displaying 26650 results
FINTECH FEB 11, 2013
Not exactly a 10: New BlackBerry disappoints

BlackBerry finally unveiled the latest -- and long-anticipated -- iteration of its once-iconic smart phone. Judging by the reaction of investors and analysts, Apple has nothing to worry about.

By John Goff
SEC top cop Khuzami exiting
REGULATION AND LEGISLATION FEB 11, 2013
SEC top cop Khuzami exiting

After much speculation, the SEC today announced that its top cop will be stepping down in about two weeks.

By Gregory Crawford
REGULATION AND LEGISLATION FEB 11, 2013
Advisory firm skinned investors by claiming 'skin in the game': SEC

Aladdin Capital agrees to settle charges that it misled retirement plans about CDOs

By Liz Skinner
FINTECH FEB 10, 2013
Client input

Recent research has revealed some compelling reasons for advisers to get clients involved in the process of opening accounts.

By Janowski Davis
REGULATION AND LEGISLATION FEB 10, 2013
Finra backtracks on plan to end 5% markup rule

Commenters had warned against eliminating it without setting a new standard

By DJAMIESON
RETIREMENT PLANNING FEB 10, 2013
Retirement planning can hurt health

Higher Medicare premiums threaten traditional retirement income planning

By Mary Beth Franklin
FINTECH FEB 10, 2013
Q&A: LPL Financial's Victor Fetter Outsider brings fresh eyes to the world of advisers

The former chief information officer of Online at Dell had never worked in the brokerage industry before.

By Bruce Kelly
RETIREMENT PLANNING FEB 10, 2013
IRS plans to update guidance on Roth options

Expanded options are contained in the American Tax Relief Law, which was signed by President Barack Obama on Jan. 2.

By Robert Steyer
RIA NEWS FEB 10, 2013
Wirehouses rethink age-old models

Changes come as Treasuries and other investment-grade fixed-income instruments are yielding near-record lows

By JKEPHART
WIREHOUSES FEB 10, 2013
Clients trust their advisers; advisory firms, not so much

Advisers are gaining client confidence even as financial firms continue to score low in the trust department following years of reports about Wall Street abuses.

By Liz Skinner
RETIREMENT PLANNING FEB 10, 2013
Low-rate environment means slower withdrawal pace: Study

A 2.8% withdrawal rate over a retirement period of 30 years, with a 40% allocation to stocks, is the recipe for a 90% success rate if rates continue to stay low

By Darla Mercado
RETIREMENT PLANNING FEB 07, 2013
Lump sum payouts for Social Security? Yep

Some retirees qualify for up to six months of retroactive benefits; pay for those larger items

By Mary Beth Franklin
RETIREMENT PLANNING FEB 07, 2013
Americans want to prop up Social Security — but not on their backs

Large support for lifting contribution cap, raising payroll tax over lengthy-time period; don't touch my bennies

By Mary Beth Franklin
INDEPENDENT BROKER DEALERS FEB 07, 2013
Finra offers details on controversial bonus disclosure reg

SRO posts summary of proposal on website; sure to draw some howls

By DJAMIESON
New House committee chairman expected to slow-play SRO bill
REGULATION AND LEGISLATION FEB 07, 2013
New House committee chairman expected to slow-play SRO bill

Regulation of investment advisers likely to be low on Hensarling's list.

By Mark Schoeff Jr.
FINTECH FEB 06, 2013
<font color=gray>T32013 Live</font> A new tech quarterback for your firm

RIA operating center can simplify life; plus, PortfolioCenter update.

By Janowski Davis
REGULATION AND LEGISLATION FEB 06, 2013
Banks face 'massive' damages from states' Libor probe

That's how one attorney described the potential damages banks face from an ongoing multistate probe of alleged Libor rigging by banks. Oh yes, some cities have already filed suit.

By John Goff
INDEPENDENT BROKER DEALERS FEB 06, 2013
LPL to reduce head count in 3Q

By Bruce Kelly
RETIREMENT PLANNING FEB 06, 2013
New regs leave 401(k) biz 'wide open' for advisers

Heightened scrutiny seen as a foot in the door; some drawbacks, too.

By Darla Mercado
RETIREMENT PLANNING FEB 06, 2013
Congress gives Roth 401(k)s new life

By Craig Brimhall