Advisor News

Displaying 26711 results
REGULATION AND LEGISLATION DEC 06, 2012
State actions against investment firms rise dramatically

State securities regulators doubled the number of enforcement cases brought against investment advisers last year as a tougher regulatory environment led investigators to focus on inappropriate advice or practices that could lead to investor fraud.

By Liz Skinner
FINTECH DEC 06, 2012
Finding errors in PortfolioCenter

By Davis Janowski
Them's the brakes: VA sales skid
RETIREMENT PLANNING DEC 05, 2012
Them's the brakes: VA sales skid

Off 8% in third quarter; MetLife drops to No. 3 behind Pru, Jackson National

By Gregory Crawford
RETIREMENT PLANNING DEC 05, 2012
MassMutual settles with SEC over VA disclosures

Carrier failed to reveal the negative impact of a growth cap on rider; agents also confused.

By Darla Mercado
Big VA seller puts the brakes on
RETIREMENT PLANNING DEC 05, 2012
Big VA seller puts the brakes on

Stop us if you've heard this one before: Another big seller of variable annuities has tamped down on the business.

By Darla Mercado
RETIREMENT PLANNING DEC 04, 2012
Surprise! Plan sponsors chose advisers based on comfort, fit — not pricing

Chemistry, services more important than fees: Franklin Templeton

By Darla Mercado
Advisers not very confident on their annuity know-how
RETIREMENT PLANNING DEC 04, 2012
Advisers not very confident on their annuity know-how

Morningstar research shows that advisers prefer systematic withdrawals in retirement; lack confidence in their annuity know-how.

By Darla Mercado
Mutual insurers ramp up development of deferred-income annuities
RETIREMENT PLANNING DEC 04, 2012
Mutual insurers ramp up development of deferred-income annuities

'Buy now, get income later' is becoming a sellable argument to clients

By Darla Mercado
Utah legislator targets online broker records
FINTECH DEC 03, 2012
Utah legislator targets online broker records

By AOSTERLAND
RETIREMENT PLANNING DEC 03, 2012
Pay attention to charitable IRA rollovers

By MFXFeeder
RETIREMENT PLANNING DEC 03, 2012
So where did The Hartford go?

Major player in advice industry pulls a 180-degree turn in reorg; 'almost non-existent'

By Darla Mercado
FINTECH DEC 03, 2012
EyePad: Putnam rolls out videos to help advisers get tech-savvy

New series of shorts featuring mobile tech tips for day-to-day business

By Liz Skinner
Opinion: Is your iPad now cleared for takeoff?
FINTECH DEC 03, 2012
Opinion: Is your iPad now cleared for takeoff?

FAA rethinking rules about use of mobile devices on planes; more leg room in coach would be nice, too

By John Goff
Sign of the times as insurers seek yield in riskier investments
RETIREMENT PLANNING DEC 03, 2012
Sign of the times as insurers seek yield in riskier investments

Alternative investments, commercial mortgages, junk bonds all on the menu

By Darla Mercado
INDEPENDENT BROKER DEALERS DEC 03, 2012
After Woodbury, AIG on the prowl for more indie B-Ds

While other insurers sell off their indie broker-dealer units, AIG is buying. Indeed, Tuesday's acquisition of Woodbury Financial looks to be the first in what could be a string of deals.

By Bruce Kelly
AIG emerges as most likely buyer of Woodbury Financial Services
INDEPENDENT BROKER DEALERS DEC 03, 2012
AIG emerges as most likely buyer of Woodbury Financial Services

Announcement of a deal for the 1,600 reps and advisers is expected before indie B-D's national sales conference next month

By Bruce Kelly
Michael Kitces: 15 power tweeters every adviser should know
FINTECH DEC 02, 2012
Michael Kitces: 15 power tweeters every adviser should know

This twitter brigrade includes smart folks to follow and planners building their own

By Michael Kitces
INDEPENDENT BROKER DEALERS DEC 02, 2012
Growth tactics of elite advisers

Despite continued market volatility, it appears as though the independent investment advisory world has finally turned the corner and moved beyond the worst of the recession that followed the “mortgage meltdown.”

By Cetera
OPINION DEC 02, 2012
SEC too important to keep in limbo

Although President Obama's appointment of Elisse Walter as chairman of the SEC will provide a degree of continuity at the agency, it also raises questions about how effective it will be for the near future.

By MFXFeeder
OPINION DEC 02, 2012
Before the storm: Failure to have a viable succession plan no longer an option

By Ron Carson