Advisor News

Displaying 26699 results
RETIREMENT PLANNING APR 21, 2013
Fees net more revenue

A weak year for the IBD channel accentuated the value of steady income

By Bruce Kelly
REGULATION AND LEGISLATION APR 21, 2013
Walter calls lifting Reg D ad ban priority

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 21, 2013
Throw caution to the wind? Not young boomers

Study finds people happier with lower return and guarantee than higher return only.

By Darla Mercado
RETIREMENT PLANNING APR 21, 2013
Younger workers would take brunt of Obama's IRA curb

Advisers mostly against the idea, calling limits 'counterproductive.'

By Darla Mercado
REGULATION AND LEGISLATION APR 21, 2013
Another side of the carried-interest debate

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.

By Robert N. Gordon
INDEPENDENT BROKER DEALERS APR 21, 2013
Attorney: Belesis firm faces new Finra query

Ex-brokers' lawyer claims intimidation from B-D

By Bruce Kelly
REGULATION AND LEGISLATION APR 21, 2013
Herbalife tangle shows how twisted the stock game is

Public announcements by large shareholders send share price zooming or plummeting; not illegal, but should it be?

By Bloomberg
REGULATION AND LEGISLATION APR 19, 2013
Troubles mounting for REIT big Tony Thompson

Finra says it is investigating REIT maven Tony Thompson for allegedly failing to turn over documents to the regulator. Bruce Kelly reports.

By Bruce Kelly
REGULATION AND LEGISLATION APR 19, 2013
Finra calls cease-fire on RIA oversight

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.

By Mark Schoeff Jr.
FINTECH APR 19, 2013
iPads are apple of advisers' eye

By Janowski Davis
FINTECH APR 19, 2013
Raymond James rolls out fully integrated version of MoneyGuidePro

By Janowski Davis
FINTECH APR 18, 2013
Comply or die: NRS upgrades 'manual' to the 21st century

Policy Architect will help advisory firms and broker-dealers keep policy manuals up to date, among other features.

By Janowski Davis
REGULATION AND LEGISLATION APR 18, 2013
Senate confirms Mary Jo White as SEC chairman by voice vote

Succeeds Elisse Walter, who remains a commissioner.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 18, 2013
Giving spree seen complicating taxes

By Darla Mercado
RETIREMENT PLANNING APR 18, 2013
Obama backs new inflation formula for Social Security

Alternative benchmark would close 25% of 75-year shortfall.

By Mary Beth Franklin
WIREHOUSES APR 18, 2013
Tax season keeping wirehouse reps in their seats

Recruitment hits lull ahead of clients' filing; 'lot of movement in May'

By AOSTERLAND
REGULATION AND LEGISLATION APR 18, 2013
Criminal checks on adviser applicants reach Bay State's radar

Massachusetts securities cops want background checks on would-be advisers. And some industry experts say the move could catch on in other states.

By Mark Schoeff Jr.
FINTECH APR 18, 2013
RIP Your Silver Bullet

Sadly, a good -- and noble -- idea gets shot down

By Janowski Davis
FINTECH APR 18, 2013
Independent advisers ready to ramp up tech spending

After several years of heavy cost cutting by advisory organizations, a small majority of 331 independent advisers surveyed by <i>InvestmentNews</i> &#8212; including both broker-dealers and registered investment advisers &#8212; plan to spend more on technology this year than last.

By AOSTERLAND
FINTECH APR 18, 2013
TD 2013 Live! TD No.1 at supporting third-party tech vendors

Providers make use of micro-booths to demo for advisers

By Janowski Davis