Advisor News

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ALTERNATIVES OCT 03, 2011
Finra plan aims to bring nontraded-REIT pricing up to par

By Bruce Kelly
WIREHOUSES OCT 03, 2011
'Sallie, Sallie, Sallie!'

The Headhunter wonders why Sallie Krawcheck's departure registered as an earth shattering day in the history of the retail brokerage business.

By Danny Sarch
RIA NEWS OCT 03, 2011
Ranks of advisers thin out for first time in a decade

The number of investment advisers registered with the Securities and Exchange Commission has fallen for the first time in 10 years, while the assets that they manage have increased sharply, according to a report released last week

By Mark Schoeff Jr.
Automatic enrollment reduces savings disparity among ethnicities
RETIREMENT PLANNING OCT 02, 2011
Automatic enrollment reduces savings disparity among ethnicities

By Darla Mercado
When talking to clients about annuities, think about demographics, says Allianz exec
RETIREMENT PLANNING OCT 02, 2011
When talking to clients about annuities, think about demographics, says Allianz exec

Advisers hoping to broach the topic of annuities with clients ought to step back from product features and focus on the greater context of longevity protection.

By Darla Mercado
OPINION OCT 02, 2011
Proxy voting lets fiduciaries use power

By MFXFeeder
RETIREMENT PLANNING OCT 02, 2011
Boomers ignorant about Medicare

By Lavonne Kuykendall
REGULATION AND LEGISLATION OCT 02, 2011
RJ units to pay $2.1M over commissions

By Bruce Kelly
RETIREMENT PLANNING OCT 02, 2011
Smaller brokers expected to restrict self-directed IRAs

By Darla Mercado
RETIREMENT PLANNING SEP 30, 2011
INsider: This just in — D-B plans rock

In case anybody was wondering, survey reveals pensions are preferred to 401(k)s

By Bloomberg
Obama takes Buffett's advice, will propose AMT for millionaires
RETIREMENT PLANNING SEP 30, 2011
Obama takes Buffett's advice, will propose AMT for millionaires

President wants to make sure wealthy don't pay lower rate than middle-income earners

By John Goff
Vanguard throws very big hat into small-pension-plan ring
RETIREMENT PLANNING SEP 30, 2011
Vanguard throws very big hat into small-pension-plan ring

Index giant looks to break insurers' domination of bundled-plan space; 'last bastion' for carriers

By Darla Mercado
RETIREMENT PLANNING SEP 30, 2011
BlackRock's indexed target date funds aim at Vanguard, Fidelity

BlackRock Inc. may be touting its new indexed target date series, but it will face some tough competition from established players in the market.

By Darla Mercado
Veteran enforcement official leaving Finra
REGULATION AND LEGISLATION SEP 30, 2011
Veteran enforcement official leaving Finra

James Shorris to return to the private sector after seven years with regulator; had said private placement crackdown was top priority

By Dan Jamieson
Source: Finra finds a new head of enforcement
REGULATION AND LEGISLATION SEP 30, 2011
Source: Finra finds a new head of enforcement

Bradley Bennett, currently a partner at Baker Botts LLP, is set to take over as head of enforcement at the Financial Industry Regulatory Authority

By Mark Bruno
ALTERNATIVES SEP 29, 2011
Faster pricing of nontraded REITs sought

Finra is putting the finishing touches on a rule proposal that would shorten the amount of time available to broker-dealers to come up with estimated valuation of a nontraded REIT

By Bruce Kelly
FINTECH SEP 29, 2011
Tool helps advisers determine health costs for clients

Financial planning applications come in two flavors, goal-based or cash-flow-based, and neither type does a very good job of equipping advisers with ways to estimate insurance or health care costs for their clients

By Davis Janowski
REGULATION AND LEGISLATION SEP 29, 2011
Barr Rosenberg barred from securities biz for life

The co-founder of Axa Rosenberg Group agreed to pay $2.5 million and be barred from the securities industry for life for failing to tell investors that there was an error in the computer code of the investment model he developed and the firm used to manage client assets.

By Liz Skinner
FIXED INCOME SEP 29, 2011
SEC expected to backtrack on muni rules

Industry observers think the Securities and Exchange Commission will have to backtrack on a proposal to increase the number of people regulated as municipal advisers

By Dan Jamieson
Compliance pros should be the biggest winners under Dodd-Frank
PRACTICE MANAGEMENT SEP 29, 2011
Compliance pros should be the biggest winners under Dodd-Frank

Compensation for compliance experts has been stagnant over the past few years, but that situation should be improving soon, largely thanks to the Dodd-Frank Act.

By Lavonne Kuykendall