Advisor News

Displaying 26807 results
REGULATION AND LEGISLATION SEP 18, 2013
Stein, Piwowar confirmed to SEC; White gets full term

Former Senate aides get late-night unanimous OK, White on board through mid-2019.

By Gregory Crawford
REGULATION AND LEGISLATION SEP 18, 2013
At least one new SEC commish to bolster cost-benefit push

New Republican SEC Commissioner Michael Piwowar is likely to continue the emphasis on cost-benefit analyses of agency rules, an effort that was elevated by his predecesor, Troy Paredes. A potential uniform fiduciary standard of care for retail investment advice has proceeded slowly because of such a regulatory impact study.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION SEP 18, 2013
SEC nominees back ending 'no admit no deny' settlements

Would-be commissioners say White's approach makes sense.

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 17, 2013
Would you flunk this financial planning test?

Many Americans fail to document budgets, plan for emergencies, study shows

By Trevor Hunnicutt
RETIREMENT PLANNING SEP 17, 2013
N.Y. insurance chief knocks life insurers for cutting capital reserves

Lawsky says companies operating in the state can't use modified model to calculate cushion.

By Darla Mercado
RETIREMENT PLANNING SEP 17, 2013
Preparing retirees for QE tapering

By MFXFeeder
INDEPENDENT BROKER DEALERS SEP 17, 2013
The inexorable shift away from the wirehouses

Rudy Adolf of Focus Financial says strong wealth management relationships are about trust, and the bond of trust with the client has been broken

By radolf
MUTUAL FUNDS SEP 17, 2013
Reserve Primary Fund settles shareholder suit for $54.9M

By Matt Ackermann
RIA NEWS SEP 17, 2013
Broadridge offers automated cost-basis application

A new partnership between Broadridge Financial Solutions and Scivantage will provide Broadridge clients with access to Scivantage Maxit, an automated cost-basis application.

By Michael Shagrin
PRACTICE MANAGEMENT SEP 17, 2013
RIAs must be prepared for aggressive SEC enforcement

By Matthew T. Boos
RETIREMENT PLANNING SEP 17, 2013
Risk altered as private equity moves into insurance

By Bloomberg
RETIREMENT PLANNING SEP 16, 2013
Prepare now for looming investment income tax

There's still time to strategize to minimize impact; trusts likely to feel the brunt

By Darla Mercado
FIXED INCOME SEP 16, 2013
Pimco's El-Erian says Fed to end easing to prevent excessive risk taking

He says the Fed sees the economy healing and aims to prevent unintended consequences of its monetary policy.

By Matt Ackermann
RETIREMENT PLANNING SEP 16, 2013
When are children eligible for Social Security?

Don't miss out on benefits one expert calls “the Viagra college fund"

By Mary Beth Franklin
FINTECH SEP 16, 2013
Turning 'friends' into clients

Real-life stories of advisers and their social-media strategies

By Davis Janowski
RETIREMENT PLANNING SEP 15, 2013
Don't blame the custodian for IRS levies

By MFXFeeder
WIREHOUSES SEP 15, 2013
Merrill, UBS lure top advisers

By Trevor Hunnicutt
RETIREMENT PLANNING SEP 15, 2013
Mark Cortazzo: "There were some very tough conversations"

By MFXFeeder
INDEPENDENT BROKER DEALERS SEP 15, 2013
FSI unveils advocacy website, social network

Tools intended to improve lobby's advocacy efforts and collaboration members.

By Mark Schoeff Jr.
WIREHOUSES SEP 15, 2013
A game of musical chairs at wirehouses

Big incentive packages and adviser frustration mark new momentum as turnover picks up.

By Michael Shagrin