Nebraska insurance director L.Tim Wagner died on Tuesday, according to the National Association of Insurance Commissioners.
One of the nation's top producing registered reps is under investigation by Michigan securities regulators.
House Republicans have introduced a bill that would repeal the AMT with an optional “simplified tax.”
The private-equity tax hike will not go gentle into that good night, according to published reports.
The number of brokers at independent dealers will catch up to the number of wirehouses in three years.
U.S. wholesalers' inventories increased at a slower-than-expected rate in August, as demand for goods increased.
The PPA has not increased the security of defined-benefit pension plans, the Pension Benefit Guaranty Corp. said.
The Select Multi-Asset Pool is actively managed and invests in a broader range of asset classes than the program’s other pools.
Pershing will expand its products and services to LPL B-Ds that use Pershing, the firms announced today.
In this newly created role, Gregg Mahalich will oversee Jackson’s wholesale efforts among regional firms.
JPMorgan Chase analyst Kenneth B. Worthington downgraded Merrill's stock to "neutral" from ''overweight.''
Guy Carpenter and Co. is accused of conspiring with reinsurers to fix prices and eliminate competition.
More than two years after the launch of the first variable annuity based on exchange traded funds, VA providers and financial advisers are still ap-proaching the product with caution.
The clearing firm's B-Ds will provide consolidated performance reporting across all accounts.
ING Investment Management Americas will purchase wind energy credits for its domestic operations equal to all of its electricity needs in the hopes of becoming carbon neutral by the end of the year.
More than two years after the launch of the first variable annuity based on exchange traded funds, VA providers and financial advisers are still ap-proaching the product with caution.
My friend Jay figured he was in a win-win situation: He would get $80 from the Internal Revenue Service for participating in an online customer satisfaction survey. In his mind, he would get paid for telling the IRS exactly what he thought about it.
Under regulations governing the securities industry, it's not enough for firms merely to archive e-mails; they must be able to furnish them to regulators “promptly.”
The walls of Neal Simon's office at Highline Wealth Management LLC are lined with the images of people he and his wife photographed during their travels through China, Guatemala, India, Indonesia and Peru.
Financial advisers don't suffer from a lack of client data, but too many providers don't offer such data in a consolidated fashion, forcing advisers to find certain types of information on their own.
