Every time the debate over the fiduciary standard of client care hits the news, RIAs pick up a few more clients
Financial planning is growing as a profession around the world, according to an organization that sets standards for its practitioners.
It is time our elected leaders and presidential wannabes treat America's jobs crisis as the social and economic catastrophe that it is, and not just as fodder for 2012 campaigns
Social media has taken over the world — or so it seems — and financial services firms are being pulled into the mix, albeit kicking and screaming. The truth is, if a company wants to remain competitive in this digital age, social media must be a strategic part of its overall marketing plan
For providers of financial services to Employee Retirement Income Security Act of 1974 plans, fees are a double-edged sword
Evercore Wealth Management's Charles Ryan talks about his firm's recent growth an expansion -- and what lies ahead for the rest of 2011 and 2012. For more INTV with top RIAs, <a href=www.investmentnews.com/section/multimedia?playerType=INTV>click here.</a>
Like many other industry groups, the American Society of Pension Professionals and Actuaries is redoubling its effort to communicate with federal lawmakers at a time when the massive federal budget deficit is causing Congress to consider new ways to produce revenue
Although interest rates are near record lows, many financial advisory clients still face a challenging lending environment for securing small-business loans and refinancing mortgages
With Americans practically addicted to the Internet, a web-based investment advisory business would seem to be an idea whose time has come
The news that an ex-director at Finra allegedly doctored reports requested by the SEC could not have come at a worse time for the SRO | <i>Reader's take:</i> <b>"Now we have the regulators incapable of regulating the regulators!"</b><br>Want to vent? <a href=http://www.investmentnews.com/article/20111027/FREE/111029943?plckFindCommentKey=CommentKey:3b60a713-8905-4c6d-92f9-8b154de56242>Click here</a>
Frank A. Barbera Jr., co-portfolio manager of the Sierra Core Retirement Fund, tracks a staggering number of jobs reports and other economic indicators. They all say the same thing, he says.
Sen. Tom Harkin expected to introduce bill calling for small levy on buying, selling of investment instruments; could curb 'pointless trading'
A group of state insurance regulators voted yesterday to adopt amendments to an annuity disclosure model that would give customers a detailed breakdown of product features.
A former LPL Financial LLC financial adviser is suing the firm, alleging that the largest independent broker-dealer wrongfully fired him, and in turn defamed his reputation, for running a TV commercial that urged viewers to buy guns
A former district director of Finra's New York office has filed an age discrimination suit against the regulator, Reuters reported last week
The SEC conducted a flawed analysis to justify a $556.8 million lease for office space that turned out was largely unneeded.
David Becker, who quit as Securities and Exchange Commission general counsel before he was sued over inherited profits from Bernard Madoff's fraud, has rejoined the law firm where he worked before taking the SEC post.
Combined firms will have nearly $2.5B in assets under management
