News

Displaying 42994 results
Which stock sectors are most likely to raise dividends? It matters a lot
INDUSTRY NEWS JUN 15, 2018
Which stock sectors are most likely to raise dividends? It matters a lot

Morningstar says technology, financials and health care have ruled, but global telecommunications looks poised to pull ahead.

By John Waggoner
WIREHOUSES JUN 15, 2018
Merrill re-evaluates commission ban in retirement accounts

The wirehouse's wealth management group announces a fresh look at the ban now that the DOL rule is on the brink of death.

By Jeff Benjamin
MUTUAL FUNDS JUN 14, 2018
Cash floods into money market funds

Short-term debt funds are flourishing because they finally pay something.

By Bloomberg
LIFE INSURANCE AND ANNUITIES JUN 14, 2018
Driverless cars may cut traffic jams, but not insurance premiums

A handful of fatal accidents involving autonomous vehicles suggest car insurance will evolve, rather than go away.

By Bloomberg
Senate Democrats call for investigation of SEC's Piwowar
REGULATION AND LEGISLATION JUN 14, 2018
Senate Democrats call for investigation of SEC's Piwowar

Senators cite reports that the outgoing commissioner pressured Citigroup officials over the bank's decision to limit business with gun firms.

By Hazel Bradford
RETIREMENT PLANNING JUN 14, 2018
DOL fiduciary rule on brink of death as key deadline passes

Justice Department didn't petition the Supreme Court to rehear the case. A mandate from the 5th Circuit would finally lay the fiduciary rule to rest.

By Greg Iacurci
INDUSTRY NEWS JUN 14, 2018
Stifel loses $400 million adviser team to Janney

Eight-person Gormley Furlong group is based in Yardley, Pa.

By Bloomberg
RETIREMENT PLANNING JUN 14, 2018
Roth conversions can boost Medicare premiums

But one year of higher health care costs may be worth it to lower RMDs and taxes in the future.

By Mary Beth Franklin
REGULATION AND LEGISLATION JUN 14, 2018
SEC advice rule: Industry, investor advocates split

At SEC meeting, both sides say agency must better define what 'best interests' means.

By Mark Schoeff Jr.
RETIREMENT PLANNING JUN 14, 2018
Guaranteed retirement income campaign launched

Industry coalition seeks to educate the public and advisers about the value of annuities.

By Mary Beth Franklin
RIAS JUN 14, 2018
RIA sentenced to 57-month prison term for theft barred by SEC

Eric Erb was ordered to pay restitution of $5.4 million to his defrauded clients.

By Bloomberg
INDUSTRY NEWS JUN 14, 2018
Former Morgan Stanley rep barred for using customer funds

Justin Mair says he 'mistakenly' paid his electric bill with client money.

By InvestmentNews
BROKER DEALERS JUN 14, 2018
Vermont hybrid managing $330 million moves from Lincoln to LPL

Flood Financial Services switches broker-dealer and RIA platforms.

By InvestmentNews
RIAS JUN 14, 2018
ProEquities introduces cybersecurity to protect even the least tech-savvy advisers

Developed by Entreda, the platform will ensure every computer and mobile device is secure when accessing client data.

By Ryan W. Neal
FINTECH JUN 14, 2018
Crypto coins surge on SEC reprieve

Regulator says transactions involving ether aren't subject to federal securities rules

By Bloomberg
BROKER DEALERS JUN 14, 2018
Finra to overhaul broker information system, cut compliance costs for broker-dealers

The move is intended to cut compliance costs for firms as well as make the registration and disclosure process more efficient.

By Bruce Kelly
RETIREMENT PLANNING JUN 13, 2018
BlackRock, Wells Fargo reportedly preparing ESG funds for 401(k) plans

Both companies are said to be developing target-date funds with this focus.

By Bloomberg
INDUSTRY NEWS JUN 13, 2018
DoubleLine Capital's Gundlach says current debt expansion amid rising interest rates 'unprecedented'

Tax cuts and increased federal spending now could raise U.S. deficit to 125% of GDP by 2030.

By Bloomberg
REGULATION AND LEGISLATION JUN 13, 2018
Court ruling may limit New York's powerful anti-fraud weapon

New York State Court of Appeals scales back $11 billion lawsuit against Credit Suisse.

By Bloomberg
RIAS JUN 13, 2018
United Capital's new CIO has had an 'unlikely' career path

Kara Murphy never thought she'd end up on Wall Street — or be in one of the World Trade Center towers attacked on 9/11.

By Jeff Benjamin