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INDUSTRY NEWS DEC 10, 2014
Which are cheaper, ETFs or mutual funds?

New report from Morningstar casts doubt on the relative cost advantages of popular exchange-traded funds. And there is, of course, the Vanguard effect.

By Trevor Hunnicutt
INDUSTRY NEWS DEC 10, 2014
JP Morgan

By Elizabeth MacBride
EQUITIES DEC 10, 2014
Jack Bogle recommends a firm grip on U.S. stocks

On <i>Breakfast with Benjamin</i>: Jack Bogle recommends a firm grip on U.S. stocks. Plus: The tide is turning in favor of active management, the oil-price slide is spreading across the commodities markets, and OPEC fades as a cartel.

By Jeff Benjamin
RIAS DEC 10, 2014
Tony Robbins gets advisers talking at the 2014 MarketCounsel Summit

Independent advisers get a dose of inspiration as Tony Robbins continues to champion their cause

By Andrew Leigh
RETIREMENT PLANNING DEC 10, 2014
Americans have a low retirement IQ

More than 75% are clueless when it comes to drawing down income in their golden years.

By Bloomberg
PRACTICE MANAGEMENT DEC 10, 2014
What the SEC's enforcement numbers really tell us

Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past

By Mark Schoeff Jr.
RIAS DEC 10, 2014
The ultimate payoff of advisers striking strategic partnerships

When advisers create more time to better engage their clients, they can build strong and rewarding businesses

By Charles Goldman
PRACTICE MANAGEMENT DEC 10, 2014
B-Ds taking it on the chin from regulators

With three retail firms in the past couple of weeks disclosing disappointing earnings related to compliance and regulatory issues, the question is: Where does this rash of regulatory actions come from?

By Bruce Kelly
MUTUAL FUNDS DEC 10, 2014
SEC bars former Oppenheimer & Co. fund manager

Agency alleged that he misrepresented the value of a private-equity fund of funds.

By Mason Braswell
PRACTICE MANAGEMENT DEC 09, 2014
Could more women traders cut volatility?

Experimental market sessions show more women traders = smaller and fewer bubbles

By Liz Skinner
EQUITIES DEC 09, 2014
The strange tale of Wall Street's bull

The tale of Wall Street's bull. Plus: Gross, Gundlach disagree; the $72 million high school trader; Yahoo's big score; Goldman's liquidity call and Russia's rate hike.

By Jeff Benjamin
INDUSTRY NEWS DEC 09, 2014
Investing icon Burt Malkiel on the one sure bet in investing

The author of 'A Random Walk Down Wall Street' also says valuations are better in emerging markets, and investors can look there for reasonable returns.

By Bloomberg
PRACTICE MANAGEMENT DEC 09, 2014
Mark Cuban blasts SEC focus on enforcement

In a strange combo, the 'Shark Tank' entrepreneur joined former chairman Christopher Cox in criticizing the agency for the way it handles enforcement actions.

By Mason Braswell
RETIREMENT PLANNING DEC 09, 2014
How immigration reform could impact Social Security

Additional payroll taxes would bolster trust funds initially

By Mary Beth Franklin
REGULATION AND LEGISLATION DEC 09, 2014
Five former Madoff colleagues face prison sentencing

Bernard Madoff's inner circle, who benefited from the perks of his $17.5 billion Ponzi scheme, now face jail time.

By Bloomberg
INDUSTRY NEWS DEC 09, 2014
Goldman Sachs' oil forecasting prowess … or lack thereof

Wall Street titan cuts its forecast for the commodity, but should anyone pay attention? If history is any guide, not really.

By Paul Schatz
EQUITIES DEC 09, 2014
Troubled SAC Capital hedge fund becomes a family office

Breakfast with Benjamin is back. Today: SAC Capital is now a family office; gold and silver start to shine; navigating bonds with ETFs; another debt-ceiling fight; cheaper gas in 2014; and the biggest product flops of 2013.

By Jeff Benjamin
BROKER DEALERS DEC 08, 2014
From the C Suite with Raymond James' CEO Paul Reilly: Listen and learn. But in a crunch, be decisive

Exec honed his listening and peacemaking skills growing up as the third of eight children and those talents have come in handy.

By Liz Skinner
RIAS DEC 08, 2014
Fidelity fined $350,000 in billing snafu

Finra said the firm overbilled more than 20,000 fee-based accounts in its RIA unit by $2.4 million over seven years and ordered it to pay a $350,000 fine.

By Mason Braswell
EQUITIES DEC 08, 2014
Pimco plucks two from Schroders for equities expansion effort

Giles Money joins as a money manager in global growth equity strategies and Lucrecia Tam as an equity analyst focused on industrials,

By Bloomberg