Fifty-five million Social Security beneficiaries can look forward to a 3.6% cost-of-living adjustment in 2012.
The independent-contractor-brokerage industry continues to see consolidation.
Rumors are swirling that Legent Clearing LLC is about to be bought by private-equity investors — just months after a previous attempt to buy the firm failed.
Shortfall may be twice what was previously estimated; 'close to exhausting the funds'
LPL Financial LLC will soon take the wraps off a major technology initiative intended to appease its 12,799 reps and advisers.
While most of us are already well on our way to breaking our New Year's resolutions to lose weight, exercise more or declutter our desks, here are some ideas for resolutions that financial advisers might want to consider — and stick to — for 2012.
This year has meant big changes for some superstar financial advisers, with the latest, Ric Edelman, expressing his deep displeasure with the economics of the independent-brokerage business
Larry Roth is chief executive of Advisor Group, the independent-broker-dealer subsidiary of American International Group Inc. In that role, he oversees more than 600 employees who serve 4,800 financial advisers affiliated with FSC Securities Corp., Royal Alliance Associates Inc. and SagePoint Financial Inc.
State and local governments not nearly out of the woods, analyst says
Western & Southern Financial Group yesterday said it had sold the assets of its independent broker-dealer, Capital Analysts Inc., to Lincoln Investment Planning Inc.
Ratings cuts of two or more notches are expected to pick up over the summer as agencies review their methodologies
Returns for top-rated tax-exempt paper on a par with Treasuries; lower-rated debt the better bet, say experts
From apps to amplitude, embracing old and new media can pay off for advisers
Con artists deluging investors with Internet scams; the latest: an e-mail claiming your firm is being investigated by the SEC's whistleblower office
SEC's cost-benefit analysis could prove to be tricky; a little hard 'to get your arms around'
Judge upholds Finra's earlier decision in muni bond fund dispute; ordered to pony up $54M
The SEC's move to step up enforcement actions against investment advisers is only the tip of the iceberg, according to one former SEC official.
Program is for investment advisers now registered with the Securities and Exchange Commission who must register with anywhere from four to 14 states.
