A weak year for the IBD channel accentuated the value of steady income
Study finds people happier with lower return and guarantee than higher return only.
Advisers mostly against the idea, calling limits 'counterproductive.'
As the debate over carried-interest taxes gains national attention, Robert N. Gordon warns that the levies wouldn't just hit hedge fund managers. Here's why Investors should be worried, too.
Ex-brokers' lawyer claims intimidation from B-D
Public announcements by large shareholders send share price zooming or plummeting; not illegal, but should it be?
Finra says it is investigating REIT maven Tony Thompson for allegedly failing to turn over documents to the regulator. Bruce Kelly reports.
Finra boss Rick Ketchum says there's little chance of RIAs coming under the self-regulator's aegis. The upshot? Finra will focus more heavily on other issues.
Policy Architect will help advisory firms and broker-dealers keep policy manuals up to date, among other features.
Succeeds Elisse Walter, who remains a commissioner.
Alternative benchmark would close 25% of 75-year shortfall.
Recruitment hits lull ahead of clients' filing; 'lot of movement in May'
Massachusetts securities cops want background checks on would-be advisers. And some industry experts say the move could catch on in other states.
After several years of heavy cost cutting by advisory organizations, a small majority of 331 independent advisers surveyed by <i>InvestmentNews</i> — including both broker-dealers and registered investment advisers — plan to spend more on technology this year than last.
Providers make use of micro-booths to demo for advisers
