State regulators said they'll help coordinate reviews among states for some midsize investment advisers who must switch to state oversight from Securities and Exchange Commission registration as prescribed by the Dodd-Frank financial reforms measure. <a href=http://www.investmentnews.com/article/20111207/FREE/111209948><b>(Read more)</b></a>
Industry groups are looking at getting behind proposals that would prohibit members of Congress and others involved in the legislative process from trading stocks or commodities based on nonpublic information related to their work in government
The following is an edited version of a speech given Sept. 12 by Elisse B. Walter, a member of the Securities and Exchange Commission, in Wichita, Kan., at the annual conference of the North American Securities Administrators Association Inc.
IRI agrees SS claiming strategies are crucial to a holistic retirement income plan. Send your SS questions to me and I'll post my answers.
After a recent appearance on Consuelo Mack's WealthTrack <a href=http://www.investmentnews.com/section/video?playerType=CMWealth&bctid=1537880225001>(watch here)</a> discussing Social Security, <i>InvestmentNews</i> contributing editor Mary Beth Franklin quickly received more than 100 inquiries from advisers and investors about strategies and techniques for most effectively tapping this cornerstone of retirement income.
Americans who work with financial advisers are more conficent about their retirement prospects.
The latest Retirement Confidence Survey is out today. For the 22nd year, the Employee Benefits Research Institute and Matthew Greenwald & Associates have asked American workers about their retirement dreams and concerns
Duo leave ahead of merger with Raymond James; 'wouldn't have left in a million years'
Morgan Stanley, WellsTrade and Merrill Edge trail in Consumer Reports ranking of brokerages.
Facing regulatory and cost pressures, many consider selling out to larger firms
The difficulties of self-benchmarking for advisers came up in a panel discussion this morning at the American Society of Pension Professionals and Actuaries' 2012 401(k) Summit in New Orleans.
Plan participation, investment options not true measures of performance
Few financial advisers have used social media as successfully as Josh Brown, also known by many as The Reformed Broker.
