Advisor News

Displaying 26697 results
REGULATION AND LEGISLATION JAN 09, 2009
Merkin resigns from GMAC board

By Bloomberg
MUTUAL FUNDS JAN 09, 2009
Suit filed against OppenheimerFunds

By Bloomberg
REGULATION AND LEGISLATION JAN 09, 2009
Rubin retires from Citi

By Bloomberg
REGULATION AND LEGISLATION JAN 09, 2009
Madoff scam hurts Mackenzie Financial

By Bloomberg
REGULATION AND LEGISLATION JAN 09, 2009
Watchdogs unveil $50M Ponzi scheme

By Bloomberg
REGULATION AND LEGISLATION JAN 09, 2009
GOP names Garrett to key committee post

By Bloomberg
OPINION JAN 08, 2009
What investors can learn from Wall Street's failures

Here are three important portfolio survival lessons retired investors and their advisers can learn from Wall Street’s failures.

By Bloomberg
REGULATION AND LEGISLATION JAN 08, 2009
Beware fragmented regulatory structure

By Bloomberg
REGULATION AND LEGISLATION JAN 08, 2009
Prosecutors: Send Madoff to jail

Arguing that Bernard L. Madoff is a “danger to the community,” prosecutors recommended that he be held in jail pending his trial.

By Bloomberg
REGULATION AND LEGISLATION JAN 08, 2009
Obama urges passage of stimulus bill

President-elect Barack Obama asked Congress to pass his proposed $1 trillion American Recovery and Reinvestment Plan quickly.

By Bloomberg
RETIREMENT PLANNING JAN 08, 2009
Planners form coalition to press reforms

The leaders of three financial planning organizations have formed a coalition to represent the industry as Congress works to reform the financial services industry.

By Bloomberg
REGULATION AND LEGISLATION JAN 07, 2009
Madoff suckered longtime friend

Just 10 days before his arrest, Bernard Madoff received $250 million from a financial backer in an apparent bid to prevent the collapse of his firm.

By Bloomberg
REGULATION AND LEGISLATION JAN 07, 2009
Obama said to ask Bair to stay

President-elect Barack Obama intends to retain FDIC Chairman Sheila C. Bair in her post, Democratic Party officials told The Wall Street Journal.

By Bloomberg
REGULATION AND LEGISLATION JAN 07, 2009
Britain to end short-sale ban Jan. 16

By Bloomberg
REGULATION AND LEGISLATION JAN 05, 2009
MSRB requests delay for new reporting system

The Municipal Securities Rulemaking Board on Friday proposed a partial delay in the launch of its new transparency system for short-term securities after many in the industry said they need more time to implement the system.

By Bloomberg
REGULATION AND LEGISLATION JAN 04, 2009
RETAIL REGULATION REVAMP NOT IMMINENT

Issues that affect the retail segment of the financial services industry may not win immediate attention from Congress and President-elect Barack Obama’s administration.

By Bloomberg
RETIREMENT PLANNING JAN 04, 2009
WORRIES ABOUT A DROP IN 401(k) CONTRIBUTIONS PERMEATE MARKET

Financial advisers and industry veterans are worried that investors might reduce or halt their contributions to 401(k) plans if the economy worsens this year.

By Bloomberg
OPINION JAN 04, 2009
The lessons of Bernie

The Madoff Ponzi scheme has shocked investors but offers many lessons. The first is that no one can rely on the Securities and Exchange Commission to spot all, or even most, of the bad guys in the financial system before they hurt people.

By MFXFeeder
FINTECH JAN 04, 2009
TRIMMER BUDGETS MEAN FEWER BUCKS FOR TECH

For many advisory practices, the technology focus will be making do with smaller budgets — and doing more with existing technology.

By Bloomberg
WIREHOUSES JAN 04, 2009
Wirehouse grids squeeze low producers

By Bloomberg