Dually registered advisers will be one of the SEC's exam priorities for 2013. Oh yes, the commission also plans to focus on payments advisers make to companies that distribute mutual funds.
The average revenue per adviser was a record $1,001,000
UBS' wealth management unit in the Americas turned in a stellar performance in the fourth quarter. The same cannot be said for the rest of the bank's operations.
National firms were on the prowl for RIAs last year. While fewer deals closed, the level of assets changing hands rose sharply.
Some advisers aren't worried about Web-based services. They should be.
Drop-off in companies making contributions to retirement plans; trend not 'abating anytime soon'
There's no exception for the gray area of legally separated couples.
Investors would get one of the highest yields in the tech industry
Stock price of oil producer briefly plummeted from $87.56 to 1 cent; 'blips and issues'
Stocks look like they will trip and then tumble
The SEC's Luis Aguilar is spot on when he says the commission's stance on mandatory arbitration needs a major rethink.
Company cash levels are at a 50-year high, strategist says.
Commissioner Gallagher expects new proposal before the end of March.
Software options vary by sophistication and price. Which is right for you?
Legaly separation doesn't change Uncle Sam's view of your status
Revenue from fees stabilizes income in commission-heavy industry
