As sponsors of nontraded real estate investment trusts continue their full-court press on sales, some independent broker-dealers are dialing back their level of risk and have cut back, or are considering reducing, the number of REIT products they allow their representatives to sell
Have you ever received a LinkedIn connection request from someone and wondered, “Who the heck is this person?”
United Capital Financial Advisers will acquire the assets of Peak Capital Investment Services – an advisory firm with $600 million in assets under management – executives revealed at the Schwab Impact Conference here in San Francisco today.
Does your congressman know how an SRO would make your life more difficult? Did you tell him?
As hundreds milled about at Zuccotti Park today in Manhattan's Financial District, it became clear that Occupy Wall Street isn't just a young person's movement anymore. And it's gathering momentum.
Judge shoots down SEC claim that Morgan Keegan misled auction-rate securities investors
While Mr. Corzine generally backs the Obama administration's push for regulatory reform, he doesn't agree with every piece of the legislation and has concerns about how new laws will be applied.
The following is an edited version of an Oct. 17 speech by Carlo V. di Florio, director of the Securities and Exchange Commission's Office of Compliance Inspections and Examinations, at the annual meeting of the National Society of Compliance Professionals in Baltimore
Typically, an RIA spends a little over 2% of its revenues on technology in a given year, according to findings from our <a href=http://www.investmentnews.com/adviserstudy>IN Adviser Solutions</a> group.
Social media has taken over the world — or so it seems — and financial services firms are being pulled into the mix, albeit kicking and screaming. The truth is, if a company wants to remain competitive in this digital age, social media must be a strategic part of its overall marketing plan
For providers of financial services to Employee Retirement Income Security Act of 1974 plans, fees are a double-edged sword
Evercore Wealth Management's Charles Ryan talks about his firm's recent growth an expansion -- and what lies ahead for the rest of 2011 and 2012. For more INTV with top RIAs, <a href=www.investmentnews.com/section/multimedia?playerType=INTV>click here.</a>
Like many other industry groups, the American Society of Pension Professionals and Actuaries is redoubling its effort to communicate with federal lawmakers at a time when the massive federal budget deficit is causing Congress to consider new ways to produce revenue
With Americans practically addicted to the Internet, a web-based investment advisory business would seem to be an idea whose time has come
Sen. Tom Harkin expected to introduce bill calling for small levy on buying, selling of investment instruments; could curb 'pointless trading'
A group of state insurance regulators voted yesterday to adopt amendments to an annuity disclosure model that would give customers a detailed breakdown of product features.
A former LPL Financial LLC financial adviser is suing the firm, alleging that the largest independent broker-dealer wrongfully fired him, and in turn defamed his reputation, for running a TV commercial that urged viewers to buy guns
