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OPINION OCT 28, 2010
Confidentiality when interviewing: Don't blow your deal

The rest of the world is a two week notice world.

By Danny Sarch
TAX OCT 28, 2010
Social Security strategies boost income

Financial advisers are taking advantage of several Social Security strategies that can boost baby boomers' annual income dramatically.

By Lisa Shidler
RETIREMENT PLANNING OCT 28, 2010
Americans face $6.6T shortfall in retirement savings, says advocate

Americans must confront a multitrillion-dollar shortfall in savings if they plan to maintain their standard of living during retirement, according to a study released last week.

By Bloomberg
Dem-GOP tax talk: 'A lot of theater' — but little action
REGULATION AND LEGISLATION OCT 28, 2010
Dem-GOP tax talk: 'A lot of theater' — but little action

Congress returned to work this week with a flurry of statements and posturing by political leaders regarding the soon-to-expire Bush administration tax cuts. The maneuvering likely sets the stage for a pre-election battle, rather than a compromise.

By Bloomberg
FINTECH OCT 28, 2010
Custodians rev up their platforms

By Davis Janowski
Is gold rush the latest tulip bulb frenzy?
INDUSTRY NEWS OCT 28, 2010
Is gold rush the latest tulip bulb frenzy?

Gold is about the hottest investment going, with investors buying up the bars in record numbers. Can the dramatic run-up in the price of the precious metal continue -- or will bullion eventually end up in the soup?

By Bloomberg
INDUSTRY NEWS OCT 28, 2010
A year later, Jewish charities still hurting from Madoff blow

By Associated Press
INDUSTRY NEWS OCT 27, 2010
New normal a lot like the old normal: Ariel's Hobson

Firm's president sees some sanity return to the markets; 'on the other side of the gloom and doom'

By Jessica Toonkel
REGULATION AND LEGISLATION OCT 27, 2010
Industry groups take fiduciary arguments to SEC

One of the groups meeting with the SEC during the second phase of its study on fiduciary duty believes that the agency is likely to promulgate a regulation imposing a universal standard of care for retail investment advice.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION OCT 27, 2010
Who's supposed to watch what?

A growing fog of regulation is blurring the line that separates the compliance responsibilities of broker-dealers from those of their clearing firms.

By Bloomberg
INDUSTRY NEWS OCT 27, 2010
Pimco's Bill Gross: No longer will 'two get you three'

Debt will get you in trouble – on both sides of the dollar bill. As Shakespeare wisely counseled long ago: Neither a borrower nor a lender be

By Bill Gross
Regulators cracking down on advisers' outside business deals
INDUSTRY NEWS OCT 27, 2010
Regulators cracking down on advisers' outside business deals

The brokerage industry is facing a crackdown on the practice of selling away, as firms and regulators — still fearful of undetected frauds — dig deeper into the outside business activities of registered representatives.

By Dan Jamieson
INDUSTRY NEWS OCT 27, 2010
Bruce Berkowitz: There are still values to be had

Mr. Berkowitz, Morningstar's top equity manager of the decade, tells WealthTrack's Consuelo Mack where (and how) he's finding value in today's markets

By Mark Bruno
INDUSTRY NEWS OCT 27, 2010
What Bruce Berkowitz learned from being a bookie

The stock fund manager of the decade admits to being a bookmaker, and dishes on his two biggest holdings.

By Mark Bruno
MUTUAL FUNDS OCT 26, 2010
LPL's Kleintop: Why are individual investors on a 'buyers strike'?

U.S. stocks, as measured by the S&P 500, are up 15% in the three and a half months since the beginning of the second half of 2010

By Bloomberg
TD Ameritrade assets up, profits down
INDUSTRY NEWS OCT 26, 2010
TD Ameritrade assets up, profits down

TD Ameritrade Holding Corp. saw its client assets rise to a record level, but its profits still fell in the latest quarter. (CEO Fred Tomczyk, pictured above.)

By Dan Jamieson
RIAS OCT 26, 2010
Skip Schweiss of TD Ameritrade: 'Advisers are angry'

This year, Skip Schweiss, president of TD Ameritrade Trust Co., took on an additional role as managing director of advocacy and industry issues

By Jessica Toonkel
Advisers rate the B-Ds: Who's #1?
INDUSTRY NEWS OCT 26, 2010
Advisers rate the B-Ds: Who's #1?

The latest adviser satisfaction ratings are in. And this year, the rankings include independent broker-dealers -- as well as a few surprises.

By Jessica Toonkel
Hedge-fund manager starts family office, shuns banks
RIAS OCT 26, 2010
Hedge-fund manager starts family office, shuns banks

Stephen Diggle, co-founder of hedge- fund firm Artradis Fund Management Pte, has set up a company to pool his personal wealth with that of family offices in Asia and invest in assets worldwide.

By Mark Bruno
LIFE INSURANCE AND ANNUITIES OCT 26, 2010
Transamerica to cease sales of fixed annuities via insurance brokers

Transamerica/Aegon has announced it will cease sales of fixed annuities through insurance brokers, starting Jan. 1.

By Darla Mercado