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REGULATION AND LEGISLATION JUL 29, 2012
401(k) plan sponsors dump costly providers

By Darla Mercado
REGULATION AND LEGISLATION JUL 29, 2012
Advisers breathe easier about SRO

By Mark Schoeff Jr.
OPINION JUL 29, 2012
Adviser SRO: It could be the SEC after all

Support for Bachus bill seems to be fading as Congress hears more about possible Finra oversight

By Blaine F. Aikin
INDUSTRY NEWS JUL 27, 2012
Growth in U.S. slows as consumers restrain spending

The world's largest economy cooled in the second quarter as limited job growth prompted Americans to curb spending while state and local governments cut back.

By Bloomberg
RETIREMENT PLANNING JUL 27, 2012
Sen. Harkin proposes retirement plan revamp, Social Security fix

Sen. Tom Harkin, D-Iowa, on Friday proposed a way to bolster retirement savings at work, plus a series of improvements to Social Security.

By Darla Mercado
INDUSTRY NEWS JUL 27, 2012
Americans failing to claim all education benefits, report says

The tax incentives and other programs designed to help with the escalating costs of college are so varied and confusing that many Americans aren't taking full advantage of the benefits.

By Liz Skinner
RETIREMENT PLANNING JUL 27, 2012
Pension plans keep more retirees out of poverty, reduce reliance on public assistance

Retirees aren't the only ones who benefit from receiving a defined-benefit pension; the plans help curtail government spending.

By Darla Mercado
RETIREMENT PLANNING JUL 27, 2012
Self-directed accounts in peril

Advisers warn that plan sponsors could stop offering self-directed accounts over concerns that they will have more fiduciary responsibility for investments.

By Darla Mercado
SEC considers suing Miami after muni bond disclosure probe
FIXED INCOME JUL 27, 2012
SEC considers suing Miami after muni bond disclosure probe

Questioning whether the city adequately disclosed financial information when it raised money from investors

By Doug Cubberley
REGULATION AND LEGISLATION JUL 26, 2012
CFP Board sets disciplinary guide

CFP will use official "sanction guidelines" as it determines what actions to take against its members for particular board violations.

By Liz Skinner
RETIREMENT PLANNING JUL 26, 2012
Life insurance agent accused of scamming Lincoln, N.Y. Life

Allegedly raked in big commissions by selling policies that greatly exaggerated applicants' net worth; faces 30 years in prison, forfeiture of Escalade

By Darla Mercado
Cohan: Time to shut down Finra's arbitration panels
REGULATION AND LEGISLATION JUL 25, 2012
Cohan: Time to shut down Finra's arbitration panels

Those with a grievance should be able to make their case in a real court of law

By William D. Cohan
RIAS JUL 25, 2012
Estate tax becomes focal point of fiscal-cliff debate

GOP hopping mad that issue is left out of Senate Democratic bill.

By Mark Schoeff Jr.
RIAS JUL 25, 2012
Top adviser Q&A: Glenn Kautt

By Paul Menchaca
RIAS JUL 25, 2012
Finding the right candidate for an M&A transaction

By Dave DeVoe
RIAS JUL 25, 2012
10 essential issues that every succession plan should address

By Kcruz
INDUSTRY NEWS JUL 25, 2012
After big loss, D.C. shouldn't cut to Chase

By MFXFeeder
ALTERNATIVES JUL 24, 2012
The modern economic and political cycle: Wash, rinse, repeat

The global financial markets and economy have been unable to return to steady growth following the financial crisis that began in 2008. This has not been without occasional bouts of optimism, where momentum builds as market participants embrace a growing expectation of reaching a critical escape velocity. However, these sentimental boosts have been fleeting. While each round has been distinct, it is worthwhile to note that the cycles are eerily similar.

By Paul Menchaca
INDUSTRY NEWS JUL 24, 2012
Seeking creative ways to pay high college costs

By Liz Skinner
This fund seeks out innovation in companies large and small
EQUITIES JUL 24, 2012
This fund seeks out innovation in companies large and small

By focusing on the characteristics of business innovation without regard for market capitalization, industry or geographic location, the Alpine Innovators Fund has developed a pattern of often moving independent from the overall market

By Jeff Benjamin