There has not been a lot of news coming out of this year's Technology Tools for Today conference (it is being held in Weston, Florida this year).
Independent broker-dealers depend on hiring new advisers to keep their businesses growing -- and in 2011 they're likely to ramp up recruiting in the first half before the onset of new Dodd-Frank rules, according to an <i>InvestmentNews</i> analysis.
Among the largest independent broker-dealers, Commonwealth Financial Network has the highest concentration of financial advisers who produce more than $500,000 annually, according to InvestmentNews <a href=http://www.investmentnews.com/section/broker-dealer-data>data. And it's reached the top by getting people out the door: Namely, its advisers.
A cash strapped independent broker-dealer that sold $65.3 million in high-risk oil and gas private placements is seeking to combine 36 separate arbitration claims and lawsuits as part of a class action settlement
Brokerage firm Edward Jones this week announced that it plans to add up to 20 branch offices to the more than 60 it has in the state of Utah.
Mobile application sure to attract attention from users of Apple's ubiquitous smartphone
President Barack Obama and House Republicans are headed for a collision over support for the Securities and Exchange Commission.
Financial advisers should rethink the way that they disclose information to clients, and investment firms should review and debate possible sales conflicts regularly, Finra chief executive Richard Ketchum said last week
A new regulation that would allow investors to choose an all-public arbitration panel in disputes with brokers is being hailed as a step toward making the process fairer — and criticized as a half-step toward giving investors the option of litigation.
High-profile advocate of state regulatory powers also served as president of NASAA
American workers and retirees are more hopeful about the economy now than they were in the third quarter, but both groups remain worried about their own finances, according to a survey released today.
A proposal to cut by more than half the total amount employers and employees may contribute to their defined-contribution plans could spur some employers to kill the plans, industry lobbyists say.
Rep. Ryan's plan envisions big cuts to Medicare, Social Security, but also caps tax rate at 25%
Finra boss says advisers should be acting ahead of rule change by SEC; customers' best interests paramount
State securities regulators are warning investors to be careful about peer-to-peer lending over the Internet, a trend that they say is on the rise as conventional loans have become scarcer and more costly
GOP budget cuts could end up declawing financial reform, the SEC boss warns
The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics.
College planning is one area where financial advisers can really stand out from the crowd
College savers are flocking to 529 plans that offer principal protection. But critics says investors in these structured products are likely to come up short when tuition time arrives.
