Participants in some 401(k) retirement plans managed by Vanguard Group Inc. now have access to advice from certified financial planners.
As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent
At this time of year, investment stewards — retirement plan sponsors, and managers and trustees of charitable organization investment committees — are receiving 2010 year-end investment performance reports and poring over them to prepare for their first 2011 meetings with their advisers and money managers
The Securities and Exchange Commission is unlikely to see its budget increased over the next couple months as it continues to implement Dodd-Frank.
Like automobiles, the future of long-term-care insurance may lie in hybrids.
The Securities and Exchange Commission is holding off forming several new departments required under the Dodd-Frank financial reform law.
MetLife Inc., the largest U.S. life insurer, will halt the sale of new long-term care coverage after citing “financial challenges” in the business.
The disclosure that Mary Schapiro received nearly $9 million last year when she left her post as Finra's chief executive to become chairman of the Securities and Exchange Commission was greeted with outrage by brokerage industry participants last week.
But Republican representative has little support for wholesale repeal, even among GOP
A Wirehouse Adviser, Regional Firm Broker, and a Boutique Firm Adviser are sitting with me for dinner. None of them are particularly happy with their current firms.
The U.S. Securities and Exchange Commission froze the assets of a North Carolina investment firm and its owner, claiming he diverted more than $16 million from clients including pension funds, school endowments and hospitals.
The National Association of Personal Financial Advisors is moving its May national conference to Salt Lake City from Las Vegas, where it was originally scheduled.
Financial advisers are upbeat about prospects for stocks in 2011, with many predicting that last year's broad market surge will continue into this year. That's what they're telling their clients, too.
Securities America, Massachusetts regulator battle over who's at fault in Reg D fiasco
Montana's commissioner of securities and insurance has sued Securities America over the sale of failed private placements, making it the second state to target the broker-dealer for selling the risky investments.
