Advisor News

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RETIREMENT PLANNING MAY 25, 2011
Don't raid an IRA to pay for college

By MFXFeeder
Eleventh-hour budget agreement keeps SEC open
REGULATION AND LEGISLATION MAY 25, 2011
Eleventh-hour budget agreement keeps SEC open

But uncertainty remains, as latest deal only runs through Friday; commission still facing budget ax

By Mark Schoeff Jr
MUTUAL FUNDS MAY 25, 2011
Whistle-blower rule is winning few fans

Mutual fund companies are bracing for the expected passage this month of a proposed Securities and Exchange Commission rule that they say would completely undermine their internal compliance processes

By Jessica Toonkel
John Hancock to pony up $1 million to Louisiana in death benefit flap
LIFE INSURANCE AND ANNUITIES MAY 24, 2011
John Hancock to pony up $1 million to Louisiana in death benefit flap

Payment to the Bayou State marks third such settlement for the insurer in less than two months

By Darla Mercado
REGULATION AND LEGISLATION MAY 23, 2011
SEC eyes opening up private placements

Despite the fact that investors have lost billions of dollars in private placements that have blown up in recent years, the SEC last week said that it is looking to relax rules that regulate the marketing and sale of these offerings

By Liz Skinner and Bruce Kelly
Firm helps advisers with social media
FINTECH MAY 23, 2011
Firm helps advisers with social media

Given the welter of compliance issues that they face, financial advisers remain understandably cautious about using social media.

By Anya Khalamayzer
REGULATION AND LEGISLATION MAY 23, 2011
Ketchum pledge: More-efficient Finra oversight

By MFXFeeder
REGULATION AND LEGISLATION MAY 23, 2011
SEC budget woes may bolster case for creation of SRO

The impasse on Capitol Hill over the federal budget may give more ammunition to proponents of establishing a self-regulatory organization for investment advisers.

By Mark Schoeff Jr.
RETIREMENT PLANNING MAY 22, 2011
The secrets of the top advisers

Gregory Vaughan has the demeanor of your favorite college professor — accessible, attentive and humble

By Andrew Osterland
FINTECH MAY 22, 2011
Black Diamond seen unlikely to go the way of TechFi

Advent Software Inc.'s announced $73 million deal for Black Diamond Performance Reporting LLC is the biggest news in portfolio management and performance reporting in years

By Davis Janowski
Rollover funds go a-begging
RETIREMENT PLANNING MAY 22, 2011
Rollover funds go a-begging

Workers often leave 401(k) accounts with former employers for no good reason, survey finds; advisers missing a trick

By Lavonne Kuykendall
FINTECH MAY 22, 2011
End of an error? Software calculates fund fees

By Bloomberg
FINTECH MAY 22, 2011
Make sure all your data are safe

By Davis Janowski
FINTECH MAY 22, 2011
Social-media archiving, compliance solutions in focus

Financial advisers and broker-dealers apparently aren't sitting on the sidelines waiting for Finra and the SEC to figure out how the financial advisory industry should use social networking

By Davis Janowski
Little drama expected for SEC nominees
REGULATION AND LEGISLATION MAY 20, 2011
Little drama expected for SEC nominees

Aguilar, Gallagher tipped for relatively painless confirmation process

By Mark Schoeff Jr.
Critics slam SEC's 'revolving door'
REGULATION AND LEGISLATION MAY 20, 2011
Critics slam SEC's 'revolving door'

New report supports assertions that large number of ex-commission employees represent outside clients before the agency

By Bloomberg
RETIREMENT PLANNING MAY 20, 2011
Berkshire Hathaway: Buy or sell?

Matthew McLennan (middle), portfolio manager at First Eagle Funds, and David J. Winters (right), manager of the Wintergreen Fund, sit down with WealthTrack's Consuelo Mack (left) at the Retirement Income Summit today in Chicago.

By Mark Bruno
RETIREMENT PLANNING MAY 20, 2011
AllianceBernstein loses DC veteran to Russell

Davies latest in a series of of top execs who've left the financial firm since CEO change in 2008

By Doug Cubberley
RIA NEWS MAY 19, 2011
IRAs going under the microscope ─ are advisers prepared?

Jamey Delaplane, partner at law firm Davis &amp; Harman LLP, warned advisers in attendance at the <i>InvestmentNews</i> Retirement Income Summit that IRAs are likely to come under increased regulatory scrutiny.

By Mark Bruno
Banks butting heads with Vanguard, Fidelity in 401(k) scrum
RETIREMENT PLANNING MAY 19, 2011
Banks butting heads with Vanguard, Fidelity in 401(k) scrum

BofA, JPMorgan and Wells looking to horn in on retirement plan biz; could be good news for employees

By John Goff