Advisor News

Displaying 26699 results
FINTECH APR 24, 2013
BrokerCheck link dashed

Finra yanks proposal that would have required reps to post link to database on their web sites, social media pages

By Mark Schoeff Jr.
EQUITIES APR 24, 2013
The Takeaway: How did the rich get that way?

By Joshua Brown
ALTERNATIVES APR 24, 2013
Illiquid BDCs demand scrutiny

By Bruce Kelly
RIA NEWS APR 24, 2013
Hybrid advisers may have skewed report on commission business

Head-scratching results could be from research firm's confusing categories.

By DJAMIESON
REGULATION AND LEGISLATION APR 24, 2013
Advisers say Obama tax break cap would hurt clients

28% limit not a 'helpful' policy for jobs or growth.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 24, 2013
Finra proposes wider release of complaints

Finra wants to make the investing public aware of pending regulatory complaints against brokers. Some industry observers say the plan could do serious harm to innocent advisers.

By DJAMIESON
REGULATION AND LEGISLATION APR 24, 2013
Adviser issues fly under the radar in Congress

If you're looking for investment adviser issues on Capitol Hill, you'll have to squin

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS APR 24, 2013
Finra proposes a link to BrokerCheck on firm websites

Goal to increase investor awareness; comment period is open.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 24, 2013
LPL beefing up its compliance in wake of Massachusetts suit

In the aftermath of a suit filed by Massachussets, LPL has reined in sales of nontraditional mutual funds.

By Bruce Kelly
REGULATION AND LEGISLATION APR 24, 2013
FPA seeks to ramp up lobbying by hiring D.C. firm

The Financial Planning Association is turning to a Washington, D.C., lobbying firm to beef up its efforts to influence federal and state lawmakers and regulators. The organization hired the Raben Group, a public affairs shop founded by Robert Raben, an assistant attorney general in the Clinton administration.

By Mark Schoeff Jr.
FINTECH APR 24, 2013
National Financial's Streetscape is now accessible on the iPad

By Janowski Davis
RIA NEWS APR 24, 2013
Fidelity launches new salvo in custodian technology "war'

By Bloomberg
INDEPENDENT BROKER DEALERS APR 23, 2013
Stifel turns tables on Wells Fargo with 'scorched earth' claim

Brokers have been battling over recruiting for six years; Stifel CEO sees vendetta.

By DJAMIESON
REGULATION AND LEGISLATION APR 23, 2013
Senate Internet tax bill could open door to state levies, hitting advisers

Senate Internet tax bill could open door to state levies, hitting advisers. Mark Schoeff Jr. has the details.

By Mark Schoeff Jr.
OPINION APR 23, 2013
Why conflicts of interest aren't going away

By MFXFeeder
REGULATION AND LEGISLATION APR 23, 2013
Law firm: DOL fidush rule would make SEC plan pointless

Letter says Labor rule would make SEC's cost-benefit effort worthless; some disagree.

By Mark Schoeff Jr.
INDEPENDENT BROKER DEALERS APR 23, 2013
Raymond James cuts 160 staffers, no advisers

'Unprecedented' layoffs linked to Morgan Keegan deal.

By Bruce Kelly
REGULATION AND LEGISLATION APR 23, 2013
SEC charges Belesis, hedge fund manager with fraud

The SEC on Friday charged indie B-D owner -- and 'Wall Street 2' actor -- Tommy Belesis with fraud, claiming he bullied a fund manager into giving him excessive fees.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 22, 2013
NY Life cuts initial deposit for annuity to attract youth

But critics question whether younger workers should even be buying annuities

By Darla Mercado
REGULATION AND LEGISLATION APR 21, 2013
Terrorist plot scrapped after day-trading loss sapped funding

Scheme to detonate backups in U.K. abandoned after big hit on forex bets; down 62%

By John Goff