News

Displaying 43034 results
RETIREMENT PLANNING MAR 21, 2012
The top 25 sellers of variable annuities

Participating issuers, ranked by sales

By Mark Bruno
RETIREMENT PLANNING MAR 21, 2012
The top 25 variable annuity providers through independent B-Ds

Top participating issuers of VAs

By Mark Bruno
RETIREMENT PLANNING MAR 21, 2012
Longevity insurance promising - but higher rates would help

By Darla Mercado
BROKER DEALERS MAR 20, 2012
The Reformed Broker: The day I realized 'the end was near'

The following is an excerpt from <a href=http://www.amazon.com/Backstage-Wall-Street-Insider%252019s-Investments/dp/007178232X/ref=sr_1_1?ie=UTF8&amp;qid=1333988682&amp;sr=8-1>Backstage Wall Street: An Insider's Guide to Knowing Who to Trust, Who to Run From, and How to Maximize Your Investments</a>, written by Josh Brown, vice president and financial adviser at Fushion Analytcis Investment Partners.</a>

By Josh Brown
Will BAML's new fiduciary service make big contribution to its DC business?
RETIREMENT PLANNING MAR 20, 2012
Will BAML's new fiduciary service make big contribution to its DC business?

Bank of America's new fiduciary service will be available to plans with at least $25 million in defined-contribution assets and their retirement plan specialist advisers

By Darla Mercado
REGULATION AND LEGISLATION MAR 20, 2012
'Trading Places' would make a good PSA: CFTC enforcement chief

1983 movie &quot;trading Places,&quot; which hinges on insider trading, could persuade like recent 'Gordon Gekko' ads, said the CFTC's enforcement chief

By Bloomberg
RETIREMENT PLANNING MAR 20, 2012
What's behind money in motion

By Chris J. Brown and Laura Varas
REGULATION AND LEGISLATION MAR 20, 2012
Two Ameriprise advisers traded on info gleaned from AA meeting: SEC

The SEC claims two Ameriprise advisers made a killing by trading on inside information about an upcoming merger. Where did they come across the info? At an Alcoholics Anonymous meeting, says the commission.

By Liz Skinner
Schumer wants early fight on ending Bush-era tax cuts for top earners
RIAS MAR 20, 2012
Schumer wants early fight on ending Bush-era tax cuts for top earners

Several top Senate dems believe they're in a stronger position now than in 2010 to go after Bush-era tax cuts for top earners

By Doug Cubberley
Record enforcement for SEC in 2011? It ain't necessarily so
REGULATION AND LEGISLATION MAR 20, 2012
Record enforcement for SEC in 2011? It ain't necessarily so

Follow-on actions from previous years helped goose the numbers; fewer original cases filed last year than in 2009

By John Goff
Crucial SEC vote leaves compliance officers in the dark
REGULATION AND LEGISLATION MAR 20, 2012
Crucial SEC vote leaves compliance officers in the dark

SEC dismisses case against Urban, but offers no clarification on scope of responsibility; 'back to where we started'

By Bloomberg
REGULATION AND LEGISLATION MAR 20, 2012
SIFMA, Finra clash over deadbeat brokers

Increasingly, brokerages are being stiffed by ex-reps who were given hefty loans as recruiting incentives. SIFMA wants Finra to write a tougher rule to help battle deadbeat brokers. So far, no dice.

By Dan Jamieson
Broker fiduciary rule officially in limbo
REGULATION AND LEGISLATION MAR 20, 2012
Broker fiduciary rule officially in limbo

SEC calendar says issue date for controversial proposal 'to be determined'; year anniversary fast approaching

By Mark Schoeff Jr.
REGULATION AND LEGISLATION MAR 20, 2012
Preet Bharara: Wall Street's sheriff has inside track

As U.S. Attorney for the Southern District of New York, Preet Bharara has made insider trading a top priority of his office. By bringing charges and winning convictions against executives at the highest levels of finance, he has propelled the issue back into the public consciousness

By Elizabeth MacBride
More than a wrist slap needed for insider traders
OPINION MAR 20, 2012
More than a wrist slap needed for insider traders

Raj Rajaratnam, the hedge fund tycoon convicted of conducting the world's biggest insider-trading scheme, faces sentencing Oct. 13

By Jim Pavia
REGULATION AND LEGISLATION MAR 20, 2012
Judge should throw the book at Rajaratnam: IN's Pavia

More than a wrist slap needed for insider traders

By Bloomberg
INDUSTRY NEWS MAR 19, 2012
'Real Time''s Bill Maher reveals real amazing investment

Comic says he purchased minority stake in New York Mets; laughing stock?

By John Goff
RIAS MAR 19, 2012
Affiliated Managers Group takes maiden wealth management stake with Veritable deal

The deal is the first wealth management acquisition for AMG, which owns stakes in 27 boutique money managers that have a total of $338 billion under management.

By Dan Jamieson
VA clients holding on to their VAs instead of surrendering them
RETIREMENT PLANNING MAR 19, 2012
VA clients holding on to their VAs instead of surrendering them

VA clients are less likely to surrender their variable annuities, as living benefits retain high value

By Darla Mercado
REGULATION AND LEGISLATION MAR 19, 2012
Nailed: Ex-Met and financial adviser Dykstra gets jail time

Sentenced to three years in prison for grand theft auto

By John Goff