American workers and retirees are more hopeful about the economy now than they were in the third quarter, but both groups remain worried about their own finances, according to a survey released today.
A proposal to cut by more than half the total amount employers and employees may contribute to their defined-contribution plans could spur some employers to kill the plans, industry lobbyists say.
If the government closes, the SEC will send most of its employees home. Another casualty: adviser registrations, which will be halted.
Rep. Ryan's plan envisions big cuts to Medicare, Social Security, but also caps tax rate at 25%
Bond fund manager sees little risk of major price hikes; other experts agree
Finra boss says advisers should be acting ahead of rule change by SEC; customers' best interests paramount
State securities regulators are warning investors to be careful about peer-to-peer lending over the Internet, a trend that they say is on the rise as conventional loans have become scarcer and more costly
GOP budget cuts could end up declawing financial reform, the SEC boss warns
TD Ameritrade is urging RIAs to tell Congress to stick with SEC oversight of industry -- and is even advisers a sample letter to make it easier for them to weigh in.
Agency's much-anticipated report on adviser oversight fails to offer single approach; controversy ahead
The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics.
College planning is one area where financial advisers can really stand out from the crowd
College savers are flocking to 529 plans that offer principal protection. But critics says investors in these structured products are likely to come up short when tuition time arrives.
Struggling New York banking giant Citigroup Inc. today named Deborah Doyle McWhinney managing director and head of the bank’s newly created Citi Personal Wealth Management unit, which will include roughly 600 financial advisers already in place in retail bank branches throughout the country.
The ex-president of Schwab Institutional has become CEO and president of the Dennis & Phyllis Washington Foundation.
Many financial advisers, stunned by Deborah D. McWhinney’s abrupt departure from Schwab Institutional, are wondering just what caused it. Schwab offered little explanation as to why the 52-year-old executive left after more than six years or why there was no warning.
Agricultural commodities represents a creative way to invest in the world's emerging middle class, according to Philip Tasho, founder and chief investment officer at Tamro Capital Partners, which manages $1.4 billion in asset management.
Retirees with less than $50,000 in their individual retirement accounts may not have to take required withdrawals under President Barack Obama's proposed budget.
Industry observers are worried that a new Finra reporting rule — set to go into effect July 1 — could open up brokerage firms to enforcement actions.
In the world of variable annuities, 2010 may have been the year of the guaranteed-minimum-withdrawal benefit
