Advisor News

Displaying 26703 results
REGULATION AND LEGISLATION OCT 22, 2012
Finra's 'independent regulator' label gets closer scrutiny during SRO debate

As the Financial Industry Regulatory Authority Inc. begins its sixth year of existence, the perception of its relationship to the market it oversees has taken on new importance. Its self-description as an “independent regulator” has drawn new scrutiny in recent months, after legislation that would establish one or more self-regulatory organizations for investment advisers was introduced in the House. Finra is lobbying fiercely on behalf of the bill and covets the role of the adviser SRO.

By Mark Schoeff Jr.
ALTERNATIVES OCT 22, 2012
First REIT case goes against Lerner

By AOSTERLAND
RETIREMENT PLANNING OCT 22, 2012
SEC probes giant private REIT

By Bruce Kelly
RETIREMENT PLANNING OCT 21, 2012
The Hartford's makeover centers on mutual fund push

By Darla Mercado
RETIREMENT PLANNING OCT 21, 2012
Goldman offers DC plans an alternative with fund

By Jeff Benjamin
REGULATION AND LEGISLATION OCT 21, 2012
Finra panel orders Merrill to pay $1.3M award

By Bruce Kelly
RETIREMENT PLANNING OCT 21, 2012
A better retirement withdrawal strategy — from the tax man

By Darla Mercado
FINTECH OCT 21, 2012
Stockr offers social-media site for those passionate about stocks

By Janowski Davis
RETIREMENT PLANNING OCT 21, 2012
Hey, tell me about annuities

By Darla Mercado
REGULATION AND LEGISLATION OCT 19, 2012
Attorneys float plan sponsor fee disclosure fix to Labor Department

A major law firm has pitched the Labor Department a program that would let broker-dealers and other service providers admit to and fix their fee disclosure errors without incurring the wrath of the agency.

By Darla Mercado
INDEPENDENT BROKER DEALERS OCT 19, 2012
Analyst: Ladenburg set for growth acceleration

Ladenburg Thalmann Financial Services Inc., which owns three sizable independent broker-dealers, stands to benefit from long term trends such as the increase in the number of Baby Boomers retiring and advisers leaving large financial institutions

By Bruce Kelly
PRACTICE MANAGEMENT OCT 19, 2012
Merrill Lynch names new head of alts group

Bank of America Merrill Lynch has named a new head of its Alternative Investments Group, as demand from its advisers for alternatives is expected to double assets over the next three to five years. Keith Glenfield, former chief operating officer of Global Wealth & Retirement Solutions, started in the new role this week.

By JKEPHART
Romney goes all in, vows to cut out investment taxes on middle class
REGULATION AND LEGISLATION OCT 19, 2012
Romney goes all in, vows to cut out investment taxes on middle class

If elected, Mitt Romney says he will cut out all investment taxes on the middle class. Great news for advisers, right? Right?

By Mark Schoeff Jr.
RETIREMENT PLANNING OCT 19, 2012
Hartford deals individual-life unit to Prudential as sell-off continues

Pru to pay $615 million in cash for 700,000 life insurance contracts

By Darla Mercado
RIA NEWS OCT 19, 2012
Massachusetts seeks to deny registration to adviser

Massachusetts has filed a complaint against a midsize adviser for allegedly misstating assets under management.

By DJAMIESON
RIA NEWS OCT 19, 2012
Middle-income Americans wing it on financial decisions

That best describes the underpinnings of middle-income Americans' financial decisions. And a new survey reveals just how much it's costing them.

By Mark Schoeff Jr.
EQUITIES OCT 19, 2012
Gamma ray: Retirement income security is not all about alpha

By Darla Mercado
Advisers irked as Pru locks vintage VAs
RETIREMENT PLANNING OCT 19, 2012
Advisers irked as Pru locks vintage VAs

Prudential Financial Inc.'s decision to cut off contributions into a slate of older variable annuities with attractive benefits has raised the ire of financial advisers, this time because they were given so little time to add money to the contracts.

By Darla Mercado
Pru pulls plug on another long-term-care product
RETIREMENT PLANNING OCT 19, 2012
Pru pulls plug on another long-term-care product

Bows out of group LTC insurance; halted sales of individual coverage in March

By Darla Mercado
Tardy midsize advisers warned about registration
REGULATION AND LEGISLATION OCT 19, 2012
Tardy midsize advisers warned about registration

June 28 is the day for advisers managing $25M-$90M to sign on for state oversight

By DJAMIESON