Double your pleasure

Spencer Bachus, the influential GOP representative and committee leader, has backed the creation of an adviser SRO -- and perhaps more than one.
SEP 09, 2011
By  John Goff

Latest News

The president’s executive order on alts for 401(k)s is absurd
The president’s executive order on alts for 401(k)s is absurd

The order from the White House would bend fiduciary principles to benefit the alternative investments industry alone, argues the Institute for the Fiduciary Standard.

FINRA accuses Old Slip Capital CEO of $1.1M in unauthorized trades; request for preliminary injunction denied
FINRA accuses Old Slip Capital CEO of $1.1M in unauthorized trades; request for preliminary injunction denied

A federal judge denied CEO' and managing principal James Lukezic's urgent bid to halt FINRA discipline over $1.1 million in trades, putting industry compliance under the microscope.

Labor Department withdraws annuity safe harbor rule after industry pushback
Labor Department withdraws annuity safe harbor rule after industry pushback

Industry group IRI hails regulator's reversal as a win for financial professionals, plan sponsors, and retirement savers.

UBS slips after shareholder sells $621 million stake
UBS slips after shareholder sells $621 million stake

The investor offered around 16 million shares through an overnight placing.

Advisors eye private market investments for 401(k)s as interest builds
Advisors eye private market investments for 401(k)s as interest builds

Report suggests strong demand for adding alternative assets to retirement plans.

SPONSORED How advisors can build for high-net-worth complexity

Orion's Tom Wilson on delivering coordinated, high-touch service in a world where returns alone no longer set you apart.

SPONSORED RILAs bring stability, growth during volatile markets

Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today's choppy market waters, says Myles Lambert, Brighthouse Financial.