Advisor News

Displaying 26697 results
Are retirees better off than we think? Data says yes
RETIREMENT PLANNING AUG 20, 2012
Are retirees better off than we think? Data says yes

Agency bulletin notes that key government report doesn't count IRA, 401k distributions.

By Mary Beth Franklin
REGULATION AND LEGISLATION AUG 19, 2012
War of 'independence'

By Mark Schoeff Jr.
RETIREMENT PLANNING AUG 19, 2012
Tool aims to help DC plan participants make better decisions

By Janowski Davis
RETIREMENT PLANNING AUG 19, 2012
Retirement's bleak end

By Emily Yang
FINTECH AUG 19, 2012
Raymond James rolls out MoneyGuidePro integration

By Janowski Davis
RETIREMENT PLANNING AUG 19, 2012
One way to boost Social Security benefits: A do-over

By MFXFeeder
RETIREMENT PLANNING AUG 18, 2012
The rippling effect of Hartford's restructuring

Insurer never recovered VA business it lost after the financial crisis

By Darla Mercado
RETIREMENT PLANNING AUG 18, 2012
Prudential to bail on sales of individual long-term care

Prudential will stop selling long-term care policies citing 'challenging economics.'

By Doug Cubberley
Long-running B-D closes its doors
INDEPENDENT BROKER DEALERS AUG 17, 2012
Long-running B-D closes its doors

Stop us if you've heard this one before: Another B-D that sold Provident private placements has ceased operations.

By Bruce Kelly
SEC backtracks on rule change
REGULATION AND LEGISLATION AUG 16, 2012
SEC backtracks on rule change

The SEC will not be passing an interim rule next week that would have let issuers of private securities, like hedge funds, immediately begin to make solicitations to the public.

By DJAMIESON
Self-directed IRAs require self-defense
RETIREMENT PLANNING AUG 16, 2012
Self-directed IRAs require self-defense

Regulators say it's up to investors to guard against scam artists; plenty of them out there

By Darla Mercado
Cohan: The mystery of Mitt Romney's magic IRA
RETIREMENT PLANNING AUG 16, 2012
Cohan: The mystery of Mitt Romney's magic IRA

After 15 years of contributions at Bain, retirement account valued at up to $102M; best investor ever?

By William Cohan
Now it's the Democrats' turn to razz the DOL's fiduciary proposal
RETIREMENT PLANNING AUG 16, 2012
Now it's the Democrats' turn to razz the DOL's fiduciary proposal

Dozens of Dems — including Barney Frank — fire off warning shot to Labor Department; 'troubled'

By Mark Schoeff Jr.
Finra's settlement with ex-Provident execs 'slap on the wrist,' says lawyer
REGULATION AND LEGISLATION AUG 16, 2012
Finra's settlement with ex-Provident execs 'slap on the wrist,' says lawyer

Couglin, Harrison fined $50K each, suspended for two years; 27 firms that sold preferred shares have closed

By Bruce Kelly
Star-QB-turned-adviser goes independent route
WIREHOUSES AUG 16, 2012
Star-QB-turned-adviser goes independent route

Billy Blanton went from gridiron to wirehouse; now he's going solo

By Andrew Osterland
REGULATION AND LEGISLATION AUG 15, 2012
SEC user fee bill faces steeper climb than SRO measure

Both on hold as House committee tries to reach consensus

By Mark Schoeff Jr.
ALTERNATIVES AUG 15, 2012
Lawsuit against KBS REIT dropped

Allegations in dropped lawsuit included misrepresentation of objectives, holdings and dividend policy

By Bruce Kelly
Finra's fee hikes will KO some smaller firms: FSI
INDEPENDENT BROKER DEALERS AUG 15, 2012
Finra's fee hikes will KO some smaller firms: FSI

Several industry groups have laced into Finra over the regulator's plan to hike its charges

By DJAMIESON
RIA NEWS AUG 14, 2012
Adviser, indie B-D ranks in decline

Even as demand for financial advice is increasing significantly, the nation's pool of advisers continues to shrink.

By Liz Skinner
Inland CEO Daniel Goodwin criticizes REIT IPO
ALTERNATIVES AUG 14, 2012
Inland CEO Daniel Goodwin criticizes REIT IPO

CEO Daniel Goodwin doesn't rule out legal action against Retail Properties of America Inc., which Inland formerly controlled.

By Bruce Kelly