After months of sounding out its certificants, the CFP Board's executive leadership this week will propose to the group's board that fees be increased by $12 a month, beginning July 1, for the 62,000 holders of the mark
Federal regulators soon will issue eagerly sought guidance to aid employers that want to amend their 401(k) plans to allow participants to roll over account balances into a Roth 401(k) plan
Asset inflows improved for many of the largest publicly traded money managers in the third quarter, but analysts said that institutional investors continued to hold off on new mandates
Independent representatives and broker-dealers gained allies in the House leadership who will work with them to maintain their reps' status as independent contractors
Republican takeover of the House of Representatives won't scuttle Dodd-Frank, but the party's decisive victory last week will likely shape implementation of the massive financial regulatory reform law through aggressive oversight of the rule-making process.
It remains to be seen whether lawmakers will extend tax cuts set to expire at the end of the year
Earnings reports for life insurers reveal a possible threat to future profitability: old books of universal life business.
In a comment letter posted to the SEC website last week, Richard Ketchum, Finra's chief executive, laid out in some detail what a self-regulatory organization for advisers might look like.
Advisers who live by the maxim “the early bird catches the worm” might want to think twice before getting a head start on making the switch to state registration
But firm added 161 advisers overall in 3Q, CFO Robert Moore says
Ron Carson is exiting after more than two decades at the B-D. The well-known adviser cites shortcomings in the brokerage's RIA platform as one reason for his departure.
Big run-up in share price for Molycorp in a year dominated by public offerings for Chinese companies
LPL Investment Holdings Inc. will make its market debut Nov. 17, according to sources familiar with the firm's planned initial public offering.
In a comment letter sent today to the Securities and Exchange Commission, the Investment Company Institute said the agency's proposal to cap 12(b)-1 fees puts the SEC in 'the inappropriate role of a rate maker.'
Finra and IAA square off in an adviser oversight battle
Investment advisers have been helping to bring a network of “academies of finance” to life in high schools across the country, teaching classes and mentoring students, some of whom have gone on to careers in financial services
In the thick fog of our national pessimism, only the lowest-toned tales of impending doom find any resonance.
By some measures, deflation in United States is no longer a question of if, but for how long and how deep.
Rep. Spencer Bachus (pictured) is now in line to head the House finance committee -- and he's been a key supported of an SRO for financial advisers
If you want to believe that the lame-duck Congress will come to the rescue after Election Day and renew the Bush-era tax cuts, return the estate tax to its more palatable 2009 levels and increase the exemptions from the alternative-minimum tax, go ahead.
