Advisor News

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OPINION APR 07, 2008
Reform should focus on country's needs

Judging by the heated reaction of members of Congress, Wall Street, the insurance industry, the savings-and-loan and regional-bank industries, etc., Treasury Secretary Henry Paulson's plan to revamp the nation's financial regulation is pretty good.

By MFXFeeder
OPINION APR 04, 2008
Investors are often mistaken about which strategies make a portfolio last

By Bloomberg
FINTECH APR 04, 2008
Financial sites give clients access to data

The Motley Fool and Mint.com have announced a partnership in which they will link to each other’s websites.

By Bloomberg
REGULATION AND LEGISLATION APR 04, 2008
Senate bill addresses credit crunch

“It is a far cry from everything we need to do,” but it will help keep homeowners in their homes, Sen. Christopher Dodd said.

By Bloomberg
RETIREMENT PLANNING APR 03, 2008
Debit card allows investors to tap 401(k)s

By Bloomberg
REGULATION AND LEGISLATION APR 02, 2008
Senators float bill targeting shady advisers

Two Senators have introduced bipartisan legislation to protect seniors from “unscrupulous financial advisers.”

By Bloomberg
OPINION MAR 31, 2008
Updating the regulatory system

Judging by the thundering impact of the housing collapse, something is wrong with financial regulation.

By MFXFeeder
INDEPENDENT BROKER DEALERS MAR 31, 2008
National Planning Holdings unveils surprising pay plan

Last year, National Planning Corp. and its sister broker-dealers shocked the independent-contractor broker-dealer industry with its lucrative recruiting packages to independent representatives.

By Bloomberg
FINTECH MAR 31, 2008
Post-retirement tools still seen as weak

While most financial advisers rely on financial planning software to steer clients through retirement, many are realizing that charting a retirement path is as much art as science.

By Bloomberg
FINTECH MAR 31, 2008
Website redesigns for advisers

Financial advisory firms that are mulling the idea of revamping their company websites can learn some useful lessons from others.

By Bloomberg
INDEPENDENT BROKER DEALERS MAR 31, 2008
Advanced Equities gears up to go public

Advanced Equities Financial Corp., a Chicago-based securities firm that has carved a niche of financing companies backed by venture capital firms, is preparing for an initial public offering.

By Bloomberg
RETIREMENT PLANNING MAR 31, 2008
Risk management is key to distribution planning

Financial advisers and clients can be their own worst enemies when drafting plans for retirement income, making common — but crucial — errors that can ruin distribution plans, according to an influential academic.

By Darla Mercado
RETIREMENT PLANNING MAR 28, 2008
DOL backs participants in 401(k) suit

The Dept. of Labor is backing 401(k) participants in an appeal of the dismissal of a class action filed against Deere & Co. and Fidelity Investments.

By D Hampton
RETIREMENT PLANNING MAR 28, 2008
Barclays chooses MetLife as annuity provider

MetLife is bringing in its deferred income annuity as an asset allocation option in a defined contribution plan.

By Bloomberg
FINTECH MAR 28, 2008
Wolters Kluwer, FundQuest & DTCC

A new search service is available for comparative and cross-archive regulatory research.

By Bloomberg
REGULATION AND LEGISLATION MAR 27, 2008
Obama calls for more bank supervision

A "patchwork of regulators" are "unable or unwilling" to protect the American people, said Sen. Barack Obama.

By Bloomberg
RETIREMENT PLANNING MAR 26, 2008
Vote on 401(k) fee disclosure likely

The bill is expected to pass the House by summer, but will not make it through the Senate, lawyer James Delaplane said.

By Bloomberg
RETIREMENT PLANNING MAR 26, 2008
Clients want advisers, not stock pickers

Most advisers are clueless about important tax rules that impact individual retirement accounts, CPA Ed Slott said.

By Bloomberg
FINTECH MAR 25, 2008
Version 8.1 of Portfolio Director available

Portfolio Director Inc. has announced completion of version 8.1 of its eponymous investment management software product.

By Bloomberg
REGULATION AND LEGISLATION MAR 24, 2008
Mutual Service faces arbitration claim

Mutual Service Corp. faces at least one arbitration claim for allegedly failing to supervise a mortgage broker whose practice collapsed last September under the weight of a nearly $30 million fraud.

By Bloomberg