Technology is not just another expense item detracting from take-home pay and profit distributions. For top-performing Registered Investment Advisors (RIAs), it's viewed as a long-term investment that generates growth and higher profitability.
Another week, another potential suitor of Morgan Keegan & Co. is reportedly out of the picture.
Regulator fines Wells Real Estate unit $300K for misleading marketing; says distributor claimed Wells Timberland was a REIT when it wasn't
Almost a quarter of wealthy individuals in the U.S. don't trust their children or stepchildren to protect the assets they plan on leaving the next generation.
The trickle of advisers leaving Morgan Keegan & Co. since it was put on the block by parent Regions Financial Corp. in June is picking up volume.
U.S. workers' health insurance premiums rose 63% between 2003 and 2010 as employers shifted more of the burden of rising medical costs to individuals and families, according to a study from The Commonwealth Fund
Avoid paying the IRS using complicated stock sale strategies; effective tax rate for billionaires now down to 18%
Accounting firms would have to consider how much risk their clients take when auditing brokerage firms under rules proposed by the Public Company Accounting Oversight Board.
The Public Company Accounting Oversight Board voted today to charge fees on 640 B-Ds to help pay for examinations of their auditors. Non-custodians may get off the hook, though.
Schwab's new bundled 401(k), Index Advantage, will offer 40 low-cost funds covering about 16 asset classes.
Massachusetts securities regulators filed a trio of actions today against investment advisers who defrauded customers out of millions of dollars
CFTC officials tell Senate panel they're still searching for the failed B-D's funds
A pair of former MF Global Holdings employees have filed a class action lawsuit against former CEO Jon Corzine and 11 other senior executives and directors over misleading them about the condition of the company.
Making it to the top of Goldman Sachs brings wealth, prestige — and apparently a waiver from Finra from taking the broker exams it regularly requires of others in the securities industry
Welcome to the New Year. The annual surge in gift giving and receiving — and returning — is behind us, which means that many of the children and grandchildren of your clients are sitting with more money than they had a month ago.
