Advisor News

Displaying 26640 results
MUTUAL FUNDS SEP 17, 2013
Reserve Primary Fund settles shareholder suit for $54.9M

By Matt Ackermann
RIA NEWS SEP 17, 2013
Broadridge offers automated cost-basis application

A new partnership between Broadridge Financial Solutions and Scivantage will provide Broadridge clients with access to Scivantage Maxit, an automated cost-basis application.

By Michael Shagrin
PRACTICE MANAGEMENT SEP 17, 2013
RIAs must be prepared for aggressive SEC enforcement

By Matthew T. Boos
RETIREMENT PLANNING SEP 17, 2013
Risk altered as private equity moves into insurance

By Bloomberg
RETIREMENT PLANNING SEP 16, 2013
Prepare now for looming investment income tax

There's still time to strategize to minimize impact; trusts likely to feel the brunt

By Darla Mercado
FIXED INCOME SEP 16, 2013
Pimco's El-Erian says Fed to end easing to prevent excessive risk taking

He says the Fed sees the economy healing and aims to prevent unintended consequences of its monetary policy.

By Matt Ackermann
RETIREMENT PLANNING SEP 16, 2013
When are children eligible for Social Security?

Don't miss out on benefits one expert calls “the Viagra college fund"

By Mary Beth Franklin
FINTECH SEP 16, 2013
Turning 'friends' into clients

Real-life stories of advisers and their social-media strategies

By Davis Janowski
RETIREMENT PLANNING SEP 15, 2013
Don't blame the custodian for IRS levies

By MFXFeeder
WIREHOUSES SEP 15, 2013
Merrill, UBS lure top advisers

By Trevor Hunnicutt
RETIREMENT PLANNING SEP 15, 2013
Mark Cortazzo: "There were some very tough conversations"

By MFXFeeder
INDEPENDENT BROKER DEALERS SEP 15, 2013
FSI unveils advocacy website, social network

Tools intended to improve lobby's advocacy efforts and collaboration members.

By Mark Schoeff Jr.
WIREHOUSES SEP 15, 2013
A game of musical chairs at wirehouses

Big incentive packages and adviser frustration mark new momentum as turnover picks up.

By Michael Shagrin
REGULATION AND LEGISLATION SEP 15, 2013
Arbitration bill is introduced

By Mark Schoeff Jr.
ALTERNATIVES SEP 13, 2013
Derivatives to face transaction fees under Obama proposal

The CFTC, starting in the 2014 fiscal year, would set a fee for futures, options on commodities, and swaps to fund the agency

By Matt Ackermann
FINTECH SEP 13, 2013
Tech firms strike partnership with universities to bolster financial planning

FAStech formalizes ad hoc network of platforms to give students entree into tech world.

By Michael Shagrin
REGULATION AND LEGISLATION SEP 13, 2013
Dodd-Frank, where are you?

Despite fears of red-tape-stranguIation, skyrocketing compliance costs and less time for clients, investment advisers take Dodd-Frank changes in stride. So far.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION SEP 13, 2013
SEC OKs advertising of private placements to general public

In 4-1 vote, commission greenlights marketing of Reg D offerings to credited investors; advisers stuck in the middle?

By Mark Schoeff Jr.
REGULATION AND LEGISLATION SEP 13, 2013
Finra hampered by rising compensation costs, stagnant revenue

Critics complain about CEO's $2.6M pay package, wonder about the $1.6B investment fund.

By DJAMIESON
EQUITIES SEP 13, 2013
Nasdaq to pay $10 million to settle SEC Facebook case

IPO debacle of social media darling led to losses of almost $500 million.

By Gregory Crawford