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RIAS SEP 17, 2012
Anna Nicole Smith's daughter-in-law now fourth-richest woman in U.S.

Seventy-year-old Elaine Tettemer Marshall holds 15% stake in Koch industries; worth $12.7B

By John Goff
FIXED INCOME SEP 17, 2012
Bill to limit muni adviser regs advances

By Mark Schoeff Jr.
FPA boss Tuttle to step down early
RIAS SEP 17, 2012
FPA boss Tuttle to step down early

Tuttle originally planned to retire in 2014; COO tapped as replacement

By Darla Mercado
RIAS SEP 17, 2012
10 social-media timesavers for busy advisers

By Amy McIlwain
Advisers looking harder at social media, pay-to-play compliance
RIAS SEP 17, 2012
Advisers looking harder at social media, pay-to-play compliance

About 80% of advisory firms now have written policies about social networking, compared with 64% last year and 43% in 2010, a recent survey of 555 compliance professionals found

By Liz Skinner
Opening salvo: JPMorgan Chase sued over OWS actions
REGULATION AND LEGISLATION SEP 17, 2012
Opening salvo: JPMorgan Chase sued over OWS actions

A day ahead of renewed protests, bank accused of violating rights of dissenters: Mayor Bloomberg, city council named in litigation

By John Goff
RETIREMENT PLANNING SEP 16, 2012
New health care law: advice needed

Financial advisers will have opportunities to help their clients navigate the new health care law.

By Jeff Benjamin
INDUSTRY NEWS SEP 16, 2012
Rodman & Renshaw is on verge of shutting

By Bruce Kelly
RETIREMENT PLANNING SEP 16, 2012
Soaring health care costs squeeze retirees

By Darla Mercado
REGULATION AND LEGISLATION SEP 16, 2012
Time running out on fiduciary proposal

By Mark Schoeff Jr.
REGULATION AND LEGISLATION SEP 16, 2012
With NASAA president Heath Abshure: 'We also need to be active in drafting legislation'

By DJAMIESON
WIREHOUSES SEP 16, 2012
Now work really starts at MSSB

Brokers and other observers say a culture clash and cost cutting have left legacy Smith Barney reps feeling demoralized and could cause more of the firm's brokers to leave.

By DJAMIESON
INDUSTRY NEWS SEP 16, 2012
Brokers churned accounts, SEC says

By Liz Skinner
REGULATION AND LEGISLATION SEP 16, 2012
Supervision is lacking at B-Ds, NASAA says

By DJAMIESON
INDUSTRY NEWS SEP 16, 2012
Fiduciary duty: Between a regulatory rock and a political hard place

By MFXFeeder
RETIREMENT PLANNING SEP 16, 2012
Deadline for Roth conversions is near

By MFXFeeder
INDUSTRY NEWS SEP 16, 2012
Swooping in to teach

By Esha Ray
RIAS SEP 16, 2012
Top rep in AIG B-D network joins Sterne Agee

By Bruce Kelly
OPINION SEP 16, 2012
Facing the fiscal cliff without a plan

The 2012 presidential and congressional elections are just seven weeks away, and neither presidential candidate has offered a realistic proposal to reduce the rate of growth of the country's debt.

By MFXFeeder
RETIREMENT PLANNING SEP 16, 2012
Protection gap is widening

By Darla Mercado