Advisor News

Displaying 26702 results
REGULATION AND LEGISLATION SEP 30, 2012
Finra is right to improve transparency

Any initiative that reduces investors' vulnerability to fraud, and thereby strengthens their confidence in the markets, is a step in the right direction.

By MFXFeeder
RETIREMENT PLANNING SEP 30, 2012
REIT dividends at issue in suit

By Bruce Kelly
FINTECH SEP 30, 2012
Survey: Advisers aren't plugged in to their own CRM systems

By Liz Skinner
FINTECH SEP 30, 2012
Fox and Redtail partner on work flow

By Davis Janowski
OPINION SEP 30, 2012
Are cost-benefit analyses exploited?

By MFXFeeder
FINTECH SEP 30, 2012
Best way not to get burned by tech? Use active managers

By Jeff Benjamin
REGULATION AND LEGISLATION SEP 30, 2012
SRO issue may hinge on funding

By Mark Schoeff Jr.
OPINION SEP 30, 2012
Bone up—for your clients' financial health

Now that the Supreme Court has upheld the constitutionality of the health care reform law, advisers need to study it thoroughly.

By MFXFeeder
RETIREMENT PLANNING SEP 30, 2012
Financial planners in limbo after health care ruling

By Mark Schoeff Jr.
FINTECH SEP 28, 2012
SunGard updates Omni Web Solution

Should provide better control, customization for those maintaining defined contribution portals

By Janowski Davis
RIA NEWS SEP 28, 2012
RIA Match links advisers and firms that are recruiting

By Janowski Davis
REGULATION AND LEGISLATION SEP 28, 2012
Privacy laws threaten compliance

State lawmakers are chipping away at securities firms' ability to monitor employee activity on social-media sites, which could cause compliance headaches for both firms and regulators.

By DJAMIESON
RIA NEWS SEP 28, 2012
Securities industry urges California's Brown to nix social-media law

The securities industry in California is up in arms over a bill that would ban employers from requiring employees to hand over their social media passwords.

By DJAMIESON
Merrill settlement could  'open a Pandora's box'
WIREHOUSES SEP 28, 2012
Merrill settlement could 'open a Pandora's box'

Merrill Lynch's proposed settlement with ex-brokers was aimed at limiting litigation. But some lawyers say it may trigger more lawsuits. Here's why.

By Liz Skinner
Merrill settlement could provide more ammo for brokers
WIREHOUSES SEP 28, 2012
Merrill settlement could provide more ammo for brokers

Agreement will set the floor for future monetary claims; lowball figure would trigger new suits, lawyers say

By Jeff Benjamin
INDEPENDENT BROKER DEALERS SEP 27, 2012
AIG to buy Woodbury Financial

The Hartford Financial Services Group Inc. is selling Woodbury, which has 1,400 reps and advisers, as part of a wide restructuring.

By Bruce Kelly
AllianceBernstein finds anchor tenant for customized retirement fund
RETIREMENT PLANNING SEP 27, 2012
AllianceBernstein finds anchor tenant for customized retirement fund

Product includes a lifetime withdrawal benefit backed by trio of insurers; UT says yes

By Darla Mercado
Advisers mostly going down dead end with marketing spend
FINTECH SEP 26, 2012
Advisers mostly going down dead end with marketing spend

If you build it — a website, that is — they may not come; referrals seen as the key

By Darla Mercado
REGULATION AND LEGISLATION SEP 25, 2012
SEC identifies 'switch' laggards

Midsize advisory firms that haven't moved to state regulation have until Dec. 17

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS SEP 25, 2012
N.Y. Brokerage and execs to pay $6 million for manipulating U.S. markets

A New York brokerage and three of its executives have agreed to pay more than $6 million to regulators and exchanges to settle allegations they allowed some foreign traders to manipulate U.S. securities repeatedly through accounts the firm controlled.

By Liz Skinner