SEC looking at alternative criteria beyond wealth to determine who can invest in private offerings.
Oversight of $3.7T market comes from Dodd-Frank, includes some exemptions.
Wirehouses largely back recruiting incentive regulation but IBDs oppose it.
Institutional users now caught up to retail customers who have embraced the technology.
Former SEC head says,“There is no investment product that is risk-free,” even after the financial meltdown
In a bad omen for the mutual fund industry, the shift toward fee-based compensation is expected to accelerate over the next two years, a new report finds. Who's pushing the trend?
Deadline for ballots in race between Stephen Hart and Myles Edwards is Monday.
Though one study says people are saving enough, experts warn that investors need to be reminded
Deal is on top of $62.5 million the bank contributed to settlement fund.
News out of Detroit and Illinois means retirees should count on lower income stream
To benefit an animal-rescue charity effort that LPL is undertaking, LPL's usually clean-cut CEO Mark Casady is growing a beard. This week, he posted a Photoshopped “Duck Dynasty”-style beard on Twitter.
Today's Breakfast with Benjamin: T. Rowe Price warns of correction, Deutsche Bank bans chat rooms, the first-ever hedge fund ad debuts, big banks sweating over the looming Volcker rule, and EU Commission levies heavy fine for rate rigging.
For advisers working with clients in Detroit and Ilinois, preparing for a sharp cut in pension benefits — and a smaller income stream — is a centerpiece of retirement planning.
The largest seller of long-term-care coverage is counting on periodic rate increases of 2% to 4% to maintain profit targets.
The world's biggest wealth manager, is targeting millionaire clients in oil-rich Nigeria and Angola as Swiss rival Credit Suisse Group AG withdraws from some African markets.
Richard G. Ketchum, chairman and chief executive of Finra, called on brokers to make the fiduciary standard their guideline and not to get bogged down in the legal liabilities associated with it.
Step by step, former wirehouse advisers can build a new brand and enjoy new freedom.
As technology improves and compliance fears ease, more firms are drafting more liberal policies for LinkedIn, Facebook — even Twitter
Plus a look at a startup challenging video conferencing giants and how Junxure's cloud-based CRM is shaping up.
<i>The following is an edited transcript of the July 19 webcast “Adviser Tech 2012: What Should You Buy Next?” <a href=http://www.investmentnews.com/dcce/20110719/18/18/ACTIVE_WEBCAST/2590580>Listen to the archived version here.</a> The webcast was moderated by </i>InvestmentNews<i> technology reporter and columnist Davis D. Janowski.</i> The panelists were Jude Boudreaux, Founder and Owner of Upperline Financial Planning LLC, Sabrina F. Lowell, Associate Adviser, Mosaic Financial Partners, Inc., and LeGrand S. Redfield, Jr., President, Asset Management Group, Inc.</i>
