Advisor News

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REGULATION AND LEGISLATION DEC 02, 2010
Consumer agency chief plans to think 'expansively'

Elizabeth Warren says that a new consumer protection agency must go big or go home.

By Bloomberg
Tax cut compromise: Obama 'optimistic'
REGULATION AND LEGISLATION DEC 02, 2010
Tax cut compromise: Obama 'optimistic'

President Barack Obama told newly elected state governors that he's “optimistic” the administration will reach a deal on tax cuts with congressional Democrats and Republicans before the end of the year.

By Mark Bruno
'Zero plan' chopped — but tax breaks still on the block
RIA NEWS DEC 01, 2010
'Zero plan' chopped — but tax breaks still on the block

Congress won't act directly on a proposal approved by a presidential deficit commission this week, but elements of the plan could become part of legislative proposals in coming months to address huge fiscal imbalances.

By Bloomberg
Deficit panel's 'zero plan' could do a number on insurers, advisers
RIA NEWS DEC 01, 2010
Deficit panel's 'zero plan' could do a number on insurers, advisers

Preferential tax treatment for retirement programs and insurance products are threatened in a draft proposal from the chairmen of the national deficit commission, according to advocates.

By Bloomberg
REGULATION AND LEGISLATION DEC 01, 2010
Incite: Brokers hold the cards in disputes with clients

In Finra arbitration pilot program, investors fared better with all-public panels

By Bloomberg
LIFE INSURANCE AND ANNUITIES NOV 30, 2010
Insurers eye new Congress' tax agenda

By Darla Mercado
FINTECH NOV 30, 2010
Advisers optimistic about technology's direction

Without a doubt, 2010 is a far better time to start an advisory business than at any point in the last 30 years, according to the participants in <i>InvestmentNews'</i> technology round table

By Davis Janowski
FINTECH NOV 30, 2010
Technology must continue to evolve

The following is an edited transcript of <i>InvestmentNews' </i>technoogy round table, held in New York Sept. 15

By MFXFeeder
Northern Trust launches gay, lesbian wealth management biz
RIA NEWS NOV 29, 2010
Northern Trust launches gay, lesbian wealth management biz

Northern Trust Corp. long has championed its conservative heritage as a 121-year-old financial institution that eased through the Great Depression and most recently the Great Recession.

By Steve Daniels
Pension plan tax breaks facing challenge
REGULATION AND LEGISLATION NOV 29, 2010
Pension plan tax breaks facing challenge

Corporate pension industry lobbyists are bracing for an attack on the tax breaks for pension plans as the White House and federal lawmakers struggle to slash the federal budget deficit

By Doug Halonen
McHugh seen as possible replacement for SEC's Donohue
REGULATION AND LEGISLATION NOV 29, 2010
McHugh seen as possible replacement for SEC's Donohue

Senior adviser to Mary Schapiro touted as next head of the Division of Investment Management

By Jessica Toonkel
LIFE INSURANCE AND ANNUITIES NOV 29, 2010
401(k) advisers ready for new regulations

The Labor Department this month is expected to introduce its final rule on how retirement plan sponsors will be required to disclose plan fees to participants.

By Darla Mercado
RETIREMENT PLANNING NOV 29, 2010
The fight over 401(k) advice: Will anyone win?

In trying to clarify who can give advice to 401(k) plan participants and under what circumstances, the Labor Department appears to have antagonized just about everybody.

By Robert Steyer
RETIREMENT PLANNING NOV 29, 2010
Target fund rules may mean 401(k) changes

Newly proposed disclosure rules could steer plan sponsors to more conservative target date funds for their 401(k) plans, according to some industry experts.

By Darla Mercado
RETIREMENT PLANNING NOV 28, 2010
J.P. Morgan launches share class with no 12(b)-1 fees

With reform looming, bank's asset management unit joins others in offering retirement plans so-called R6 option

By Darla Mercado
Tax tips: Greater returns and asset consolidation
RIA NEWS NOV 28, 2010
Tax tips: Greater returns and asset consolidation

It's that time of year when you are talking to clients about taxes.

By Bloomberg
RETIREMENT PLANNING NOV 28, 2010
Canadian snowbirds present opportunities — and pitfalls — for advisers

More affluent Canadians are flocking south for the warm winter sun and cheap real estate deals

By Lisa Shidler
RIA NEWS NOV 28, 2010
New Finra rule could cause headaches for hybrid advisers

A new Finra rule could put a crimp in the business of brokers who run outside investment advisory and insurance businesses

By Dan Jamieson
REGULATION AND LEGISLATION NOV 28, 2010
SIFMA must stay active as regulatory rules are drawn up

RBC Wealth Management (U.S.) chief executive John Taft, the incoming chairman of the Securities Industry and Financial Markets Association, delivered remarks at the organization's annual meeting Nov. 8 in New York.

By MFXFeeder
FINTECH NOV 23, 2010
eFileCabinet rolls out latest version of SecureDrawer

By Davis Janowski