Advisor News

Displaying 26699 results
PRACTICE MANAGEMENT APR 17, 2013
Small firm compliance chiefs wearing too many hats?

SEC's Walter warns that at smaller shops, compliance can fall between the cracks.

By Liz Skinner
INDEPENDENT BROKER DEALERS APR 17, 2013
Pay up to play: Securities exam fees to increase June 1

NASAA says hikes mark first boost in four years

By Mark Schoeff Jr.
WIREHOUSES APR 17, 2013
Court backs brokerages in forcing employees to hold accounts in-house

Appeals court in California says brokerage firms can force employees to hold accounts in-house, that flexibility in in trading policies rules.

By DJAMIESON
RETIREMENT PLANNING APR 17, 2013
Widower can collect survivor benefits now, retirement benefits later

By Mary Beth Franklin
RETIREMENT PLANNING APR 17, 2013
Pension rule can mean big Social Security cut

Mary Beth Franklin looks at the Government Pension Offset, which can can turn retirement planning upside down.

By Mary Beth Franklin
REGULATION AND LEGISLATION APR 17, 2013
State securities cops seek bill to ban pre-dispute arbitration for advisers

NASAA also backs SEC exam user fee, wants crowd-funding redress.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 17, 2013
SEC seeks info on fiduciary-duty cost-benefit analysis

Agency still hasn't gotten down to brass tacks on what rule would cost

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 17, 2013
Finra appeals loss in Schwab arbitration case

Don't crank out those arb contracts just yet. Finra is challenging a ruling that OK'd waiver contracts, in which a client signs away the right to file a class-action lawsuit.

By DJAMIESON
FINTECH APR 17, 2013
How advisers are winning the technology war

By MFXFeeder
RETIREMENT PLANNING APR 17, 2013
VA suitability tools speed up an increasingly daunting task

By Janowski Davis
EQUITIES APR 16, 2013
The Takeaway: Hold your horses on preferred stock

By Joshua Brown
INDEPENDENT BROKER DEALERS APR 16, 2013
DeWaay Financial closing its doors

After months of speculation, formidable Iowa broker Donald DeWaay is shuttering his B-D. Here's why.

By Bruce Kelly
Out of DeWaay: Another top adviser exits besieged B-D
INDEPENDENT BROKER DEALERS APR 16, 2013
Out of DeWaay: Another top adviser exits besieged B-D

Karsten follows Botsford out the door; headed to Triad

By Bruce Kelly
RETIREMENT PLANNING APR 16, 2013
Fiduciary champion Hutcheson hit with more charges

Latest suit claims he violated ERISA in alleged $3.2 million theft from retirement plans

By Darla Mercado
Fiduciary advocate charged with plan theft worked for CalSTRS
RETIREMENT PLANNING APR 16, 2013
Fiduciary advocate charged with plan theft worked for CalSTRS

Giant pension fund retained Hutcheson last year to help with vetting of advisers; terminated contract in four months

By Darla Mercado
Much-anticipated site for investors good news/bad news for advisers
FINTECH APR 16, 2013
Much-anticipated site for investors good news/bad news for advisers

BrightScope's new Advisor Pages allows reps and planners to connect with potentially vast numbers of prospective clients. It also highlights rules infractions and formal complaints lodged against advisers.

By Jessica Toonkel
INDEPENDENT BROKER DEALERS APR 15, 2013
The Takeaway: It's Jack Bogle's world

By Joshua Brown
INDEPENDENT BROKER DEALERS APR 15, 2013
NFP back to buying with Fusion purchase

In one of its few big deals in recent years, NFP picks up a firm with 240 reps. Jessica Bibliowicz, the firm's CEO: 'We are definitely on the acquisition path.'

By Bruce Kelly
RETIREMENT PLANNING APR 14, 2013
Risky (tax) business: Trust income has additional levy

Tax experts just getting their hands around wrinkle in 2012 tax law.

By Darla Mercado
RETIREMENT PLANNING APR 14, 2013
Making the most of 401(k) accounts

By William P. Simon, Jr.