Treasury boss Timothy Geithner say the department is considering overhauling the current tax set-up. On the radar: reclassifying the status of pass-through businesses — including LLPs and S corps. Yikes.
The Securities and Exchange Commission is said to have begun a sweep of registered investment advisers' use of social media and social networking, according to officials at an industry compliance firm.
Loscalso claims he was axed for warning firm about lax oversight of brokers; 'fraud, forgery'
The mere mention of advisory practice work flow — or even thinking about how the work gets done (or doesn't) in an advisory business — is enough to cause many advisers' eyes to glaze over
With two of the most severe bear markets of this century fresh in their short-term memories, affluent investors — particularly the youngest investors — appear to be quite skittish about investing in anything but the safest of asset classes.
A new health insurance tax credit could hit some small financial advisory firms in their sweet spot — but only if they fit a specific profile
There has not been a lot of news coming out of this year's Technology Tools for Today conference (it is being held in Weston, Florida this year).
Among the largest independent broker-dealers, Commonwealth Financial Network has the highest concentration of financial advisers who produce more than $500,000 annually, according to InvestmentNews <a href=http://www.investmentnews.com/section/broker-dealer-data>data. And it's reached the top by getting people out the door: Namely, its advisers.
Brokerage firm Edward Jones this week announced that it plans to add up to 20 branch offices to the more than 60 it has in the state of Utah.
Industry observers are worried that a new Finra reporting rule — set to go into effect July 1 — could open up brokerage firms to enforcement actions.
Most business came to a halt throughout the Midwest two weeks ago when a massive blizzard forced workers to take a snow day, but financial advisers said they were good to go
Many wirehouse representatives toy with the idea of going independent, but for many of them, there are several good reasons to stay put
But how, given that 88% said clients are still spooked about putting money into stocks?
Mark Casady, chief executive of LPL Investment Holdings Inc., has reiterated aggressive growth targets for the country's largest independent broker-dealer
It's obvious from my recent conversations with advisers that customer relationship management software still causes plenty of confusion
Thanks to the incredible popularity of Apple Inc.'s iPad, an increasing number of financial advisers have been asking me if it is possible to run their businesses on Apple computers instead of those designed only for Microsoft Windows. The answer is yes, with a catch or two.
NASAA president David Massey sits down with <i>InvestmentNews</i> reporter Liz Skinner and discusses the potential impact of Finra regulation over investment advisers, and also how state regulators will deploy "more intelligent regulation" as they take on the oversight of all investment advisers under $100 million. <a href=http://assets.investmentnews.com/Bruno/massey_final.mp3>(Click here to listen.)</a>
In my ongoing effort to keep advisers abreast of ways to engage the next generation, I came across an entertaining website for you to share with parents or grandparents who can in turn share with their young ones.
