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Displaying 43034 results
RIAS MAR 19, 2012
Merrill Lynch losing top advisers

By Bloomberg
REGULATION AND LEGISLATION MAR 19, 2012
Securities fraud: Don't worry — Gordon Gekko will protect you

The FBI has a new posterboy for the fight against financial crime: Gordon Gecko.

By Mark Bruno
Missed the BofA rally? There's still time, says investment exec
INDUSTRY NEWS MAR 19, 2012
Missed the BofA rally? There's still time, says investment exec

Brown says bank's stock still undervalued when compared to earnings potential

By John Goff
Another snafu in DOL's plan to update fiduciary standard
RETIREMENT PLANNING MAR 19, 2012
Another snafu in DOL's plan to update fiduciary standard

Letter sent to industry groups gave some one day to provide requested information; short notice

By Bloomberg
Industry pushes back even before SEC makes money fund reform proposal
MUTUAL FUNDS MAR 19, 2012
Industry pushes back even before SEC makes money fund reform proposal

Sparks are already flying from the SEC's release of proposed reforms to money market funds, which are expected sometime within the next few weeks.

By Bloomberg
Big business to SEC: Lay off money funds
MUTUAL FUNDS MAR 19, 2012
Big business to SEC: Lay off money funds

Business group, along with a score of big companies, tell commission to keep $1 NAV, ditch buffer idea By Mark Schoeff Jr.

By John Goff
MUTUAL FUNDS MAR 19, 2012
SEC considers reforms to shore up money funds

By MFXFeeder
Backstop proposal for money funds on SEC front burner, says Schapiro
MUTUAL FUNDS MAR 19, 2012
Backstop proposal for money funds on SEC front burner, says Schapiro

Commission still working on plan that would provide capital buffer for money market funds; torn on floating NAVs

By Mark Schoeff Jr.
Finra taking an interest in wholesalers' role in product sales
REGULATION AND LEGISLATION MAR 18, 2012
Finra taking an interest in wholesalers' role in product sales

Finra's concerns over wholesalers include how well-trained the sales force is, what information they possess and the reasonable basis for suitability

By Bloomberg
OPINION MAR 18, 2012
Why housing deserves another look

As the housing market starts to recover, advisers and investors might want to reconsider portfolio allocations.

By Brad McMillan
REGULATION AND LEGISLATION MAR 18, 2012
Time to shed light on corporate political contributions

By MFXFeeder
LIFE INSURANCE AND ANNUITIES MAR 18, 2012
OSU, Pickens come up empty in insurance battle

By Darla Mercado
RIAS MAR 18, 2012
JOBS Act merits greater scrutiny

By MFXFeeder
RETIREMENT PLANNING MAR 18, 2012
These tech tools know how to take annuities into account

By Davis Janowski
ALTERNATIVES MAR 18, 2012
Pacific West is ordered to pony up $2.1M over TICs

By Bruce Kelly
INDUSTRY NEWS MAR 16, 2012
Ron Carson: I got the Muppet treatment from Goldman

Well-known wealth manager Ron Carson claims he recently got a first-hand look at how Wall Street treats clients. He wasn't impressed.

By Bruce Kelly
FIXED INCOME MAR 16, 2012
MF Global's remaining execs won't be awarded bonuses, trustee pledges

Louis Freeh, a former FBI director and MF Global trustee, said he would not recommend bonuses for the three executives who stayed on at the company to help unwind the complex transactions between and among the firm's entities.

By Liz Skinner
Janney signs more wirehouse advisers
PRACTICE MANAGEMENT MAR 16, 2012
Janney signs more wirehouse advisers

Peter Sampson, Kenneth Wiland Sr., and R. Morgan Purvis, as well as two assistants, joined the firm's Aiken, S.C., office from Morgan Stanley Smith Barney LLC, where they managed a combined $380 million.

By Andrew Osterland
WIREHOUSES MAR 16, 2012
James Gorman told Morgan Stanley staff not to circulate Op-Ed on Goldman

Morgan Stanley Chief Executive Officer James Gorman said he told staff not to circulate a Goldman Sachs Group Inc. employee's op-ed criticizing that firm and that it wasn't fair for a newspaper to publish it.

By Mark Bruno
Labor-market gains in U.S. boost consumer optimism
INDUSTRY NEWS MAR 16, 2012
Labor-market gains in U.S. boost consumer optimism

Claims for jobless benefits dropped last week to match a four-year low and U.S. consumer confidence rose to the highest since 2008, signaling an improving labor market may boost household spending.

By Doug Cubberley