Advisor News

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OPINION OCT 21, 2014
Do we really need more deliberation on the fiduciary standard, commissioner?

It is time for the commission to get to work and craft a rule to make this policy a reality.

By Barbara Roper
PRACTICE MANAGEMENT OCT 21, 2014
GOP takeover of Senate could make fate of investment adviser issues unclear

A Republican majority would likely boost the passage of GOP-favored bills, but not the consideration of industry concerns.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT OCT 21, 2014
Terminated $2.5 billion Merrill Lynch team plans to fight back

An elite private banking duo plans to take legal action accusing the wirehouse of wrongful termination last month, their attorney says.

By Mason Braswell
RETIREMENT PLANNING OCT 21, 2014
Why financial advisers still hate reverse mortgages

While a lifesaver for some clients, they remain a high-fee trap for many.

By Bloomberg
EQUITIES OCT 21, 2014
The secret Goldman Sachs tapes

How one brave federal regulator got the goods on the New York Fed's hands-off policy toward Goldman.

By Michael Lewis
EQUITIES OCT 20, 2014
Vanguard's John Bogle beats the low-fee drum, takes a fresh swipe at active management

On Thursday's <i>Breakfast with Benjamin</i> menu: John Bogle says retirement plans will suffer under active management fees. Plus: Cheap oil's fallout hits gold prices, media hype overstates the Fed's taper tap-out, and more.

By Jeff Benjamin
RIA NEWS OCT 20, 2014
TD Ameritrade's Veo dashboard gets boost from big data

Firm looks to capitalize on adviser growth with tech upgrades, but no new robo-adviser in the offing.

By Trevor Hunnicutt
PRACTICE MANAGEMENT OCT 20, 2014
Morgan hires longtime Merrill broker

Thomas Forma previously managed more than $300 million along with his partner Kevin Nichols.

By Mason Braswell
PRACTICE MANAGEMENT OCT 20, 2014
Merrill snags $500 million team from UBS

Trio brought in $5 million in annual revenue at UBS and will join Merrill's elite private banking group. <i>See also: <a href=&quot;http://www.investmentnews.com/article/20141020/FREE/141029993/morgan-hires-long-time-merrill-broker&quot; target=&quot;_blank&quot;>Merrill loses longtime broker to Morgan Stanley</a>)</i>

By Mason Braswell
RETIREMENT PLANNING OCT 20, 2014
For retirees, no relief in sight from low rates

Rates tumble as Federal Reserve's easy money policy keeps going

By InvestmentNews
PRACTICE MANAGEMENT OCT 20, 2014
SEC hits record enforcement actions in fiscal 2014

Mary Jo White credits aggressive enforcement and technology, but some question her regulatory zeal.

By Joyce Hanson
FINTECH OCT 20, 2014
Protecting client information is more than just a computer issue

Taking every precaution to guard against today's threats means focusing on both physical and electronic security.

By Sheryl Rowling
FINTECH OCT 20, 2014
Commonwealth building technology with an eye on the robo-adviser

CEO Wayne Bloom says the firm is considering how a robo offering could help its advisers better connect with clients.

By Bruce Kelly
PRACTICE MANAGEMENT OCT 19, 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.
OPINION OCT 19, 2014
Who should be accredited these days?

Time the SEC revamped the accredited investor definition in a way that broadens the potential pool of investors and strengthens verification that they qualify.

By MFXFeeder
EQUITIES OCT 19, 2014
How leverage led the market sell-off

Monday's <i>Breakfast with Benjamin:</i> How leverage led the market sell-off. Plus: Riding wild markets all the way to the elections, the tragic economics of Ebola, using all the Roth tools, more scary theories from Robert Shiller.

By Jeff Benjamin
ALTERNATIVES OCT 19, 2014
SEC approves rule change for greater transparency of nontraded REITs

The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.

By Darla Mercado
FINTECH OCT 17, 2014
Merrill Lynch 'goals-based' accounts to reach $200 billion milestone

Merrill Lynch expects its revamped fee-based investments platform to pass $200 billion in assets by next week, notching a milestone in its massive platform overhaul.

By Trevor Hunnicutt
INDEPENDENT BROKER DEALERS OCT 17, 2014
Two big developments in retirement planning grab advisers' attention

Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.

By Andrew Leigh
INDEPENDENT BROKER DEALERS OCT 17, 2014
LPL cuts profit forecast to cover higher-than-expected regulatory costs

LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.

By Bruce Kelly