Advisor News

Displaying 26679 results
RETIREMENT PLANNING OCT 01, 2007
Maximizing rollover opportunities

The United States has one of the most mobile work forces in the world.

By Bloomberg
FINTECH OCT 01, 2007
Advanced Equities emerges as big player in venture capital

By Bloomberg
RETIREMENT PLANNING OCT 01, 2007
Altered 401(k) landscape seen for advisers

More wirehouses and B-Ds realize they need to allow advisers to take on fiduciary services.

By Bloomberg
RETIREMENT PLANNING OCT 01, 2007
401(k) fee disclosure garners attention from Congress

New legislation is being written as congressional interest in 401(k) fee disclosure rules heats up in advance of a round of hearings set for this week.

By Bloomberg
RETIREMENT PLANNING OCT 01, 2007
Plan sponsors warm to automatic features as rule changes await

Automatic features are gaining momentum in the 401(k) arena, according to financial advisers.

By Lisa Shidler
FINTECH OCT 01, 2007
Fidelity unveils new planning tool aimed at advisers

By Bloomberg
WIREHOUSES SEP 27, 2007
Analyst sees calamitous quarter for Merrill

Goldman Sachs analyst William Tanona expects Merrill's third-quarter earnings to decline by 89% to $208.9 million.

By Bloomberg
WIREHOUSES SEP 26, 2007
Wachovia poaches three from Merrill

Merrill Lynch alumnus Kurt Peterson previously had assets under management of about $177.5 million.

By Bloomberg
Answering retirement’s big question
OPINION SEP 24, 2007
Answering retirement’s big question

I am one of the umpteen million baby boomers slogging my way toward retirement. My generation — oh, you know the drill: “We changed everything,” “We’ve rewritten the rules,” yadda, yadda, barf.

By Evan Cooper
OPINION SEP 24, 2007
With QDIAs, an overall evaluation is key

By Bloomberg
RETIREMENT PLANNING SEP 24, 2007
Planners hail Bernanke for rate cut

Financial planners applauded last week’s dramatic one-half-percentage-point cut in the federal funds rate by the Federal Reserve Board, saying the move provides an opportunity to calm nervous investors and help clear up their debt problems.

By Bloomberg
RETIREMENT PLANNING SEP 24, 2007
TD secrecy on tech breach irks advisers

Financial advisers are questioning the decision of TD Ameritrade Holding Corp. to keep them in the dark after hackers gained access to their clients’ Social Security numbers, account numbers, phone numbers and e-mail addresses.

By Bloomberg
FINTECH SEP 20, 2007
DTCC unveils redesign

It aims to streamline the process of obtaining fund prospectus information while expanding its Mutual Fund Profile Service.

By Bloomberg
FINTECH SEP 17, 2007
Some experts question industrywide popularity of Monte Carlo simulations

When it comes to using Monte Carlo simulations, Shawn Brayman says he’s heard it all.

By Bloomberg
INDEPENDENT BROKER DEALERS SEP 17, 2007
Heavy-hitting brokers found to be scarce

Given the voracious appetite of broker-dealers, there simply aren’t enough big-producing brokers available for recruitment, according to a new industry report.

By Bloomberg
REGULATION AND LEGISLATION SEP 17, 2007
SEC drafting sales suitability rules

Securities and Exchange Commission officials are drafting a document that defines suitability as it relates to the sale of securities. “The document is an extensive and comprehensive view of securities and case law in this area,” including some useful examples, Erik Sirri, director of market regulation, said at the SEC’s second annual Seniors Summit.

By Bloomberg
WIREHOUSES SEP 14, 2007
Merrill adjusts strategy in bumpy Q3

Merrill Lynch has adjusted the value of some investments suffering from the subprime-mortgage market.

By Bloomberg
LIFE INSURANCE AND ANNUITIES SEP 14, 2007
Defense Dept. on to crooked advisers

With a recently passed law, the Department of Defense has declared war on bogus financial advisers.

By Bloomberg
WIREHOUSES SEP 14, 2007
TD says sorry after hacker hits clients

TD Ameritrade began sending apology letters to most of its clients after a hacker stole vital information.

By Bloomberg
FINTECH SEP 13, 2007
National Financial enhances UMA system

The subsidiary of Fidelity announced that two sets of features have been added to its Managed Account Solutions.

By Bloomberg