RIA News

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New deadline looms for retirement plan fee disclosure
RETIREMENT PLANNING JUL 24, 2012
New deadline looms for retirement plan fee disclosure

Now that a new federal rule took effect requiring plan providers to disclose certain 401(k) fees, sponsors have until the end of next month to pass the word to participants

By Darla Mercado
RETIREMENT PLANNING JUL 24, 2012
New fee disclosure rules could shake up 401(k) world

Financial advisers who work with 401(k) plan sponsors — as well as those prospecting for new clients in the retirement plan arena — will get a chance to shine this summer when new Labor Department fee disclosure rules kick in July 1.

By Mark Bruno
RIA NEWS JUL 24, 2012
Merrill private bankers in Texas register, join Dynasty

New firm Syntal Capital Partners made up of six ex-Merrill advisers, chooses Dynasty Financial platform

By AOSTERLAND
For inflation protection, this JPMorgan fund doesn't allocate only to TIPS
RIA NEWS JUL 24, 2012
For inflation protection, this JPMorgan fund doesn't allocate only to TIPS

A third of this JPMorgan fund is invested in real estate investment trusts, commodities and inflation-sensitive equities, including metals, mining and infrastructure.

By Jeff Benjamin
Compare and contrast: New financial aid letter reveals costs of different colleges
RIA NEWS JUL 23, 2012
Compare and contrast: New financial aid letter reveals costs of different colleges

White House releases standard form that, among other things, shows the tab students will run up at various universities

By Liz Skinner
RIA NEWS JUL 23, 2012
American, T. Rowe win big in oil M&A deal

American Funds and T. Rowe Price Group Inc. are the big mutual fund winners in Chinese offshore oil producer CNOOC Ltd's acquisition of Nexen Inc. (NXT).

By Jason Kephart
REGULATION AND LEGISLATION JUL 23, 2012
Two years later, Dodd-Frank remains in neutral

It's been nearly two years since the passage of the landmark legislation. So far, the law has translated into precious little reform.

By Mark Schoeff Jr.
Peregrine's fraud went undetected in two U.S. agency reviews
RIA NEWS JUL 23, 2012
Peregrine's fraud went undetected in two U.S. agency reviews

The U.S. Commodity Futures Trading Commission reviewed operations at Peregrine Financial Group Inc. at least twice since 2006 without detecting the fraud that led to the collapse of the futures broker and a $200 million shortfall in client funds

By Doug Cubberley
RIA NEWS JUL 23, 2012
Next NAPFA boss calls Finra 'colossal failure,' B-Ds 'dinosaurs'

By Jason Kephart
Following $84M loss, Finra board election commences
INDEPENDENT BROKER DEALERS JUL 23, 2012
Following $84M loss, Finra board election commences

Regulator reveals three candidates for small-firm seat, as well as other nominees; some hot topics

By DJAMIESON
REGULATION AND LEGISLATION JUL 23, 2012
Definitely not-for-profit: Finra loses $84M in 2011 on rising expenses

The Financial Industry Regulatory Authority Inc. took a hit as regulatory fees continued to decline and the costs of its ongoing integration with the NYSE rose.

By DJAMIESON
When looking to commodities, consider long/short funds, ETFs
ALTERNATIVES JUL 23, 2012
When looking to commodities, consider long/short funds, ETFs

The wisdom of letting your manager worry about backwardation, contango when investing in commodities

By AOSTERLAND
ALTERNATIVES JUL 22, 2012
Alternative mutual fund strategies set for rapid growth, Cerulli says

By Jeff Benjamin
RIA NEWS JUL 22, 2012
AIG network seen as most likely buyer of Woodbury Financial

By Bruce Kelly
RETIREMENT PLANNING JUL 22, 2012
Advisers prefer leaving alts in VAs to others

By Darla Mercado
RETIREMENT PLANNING JUL 22, 2012
Life insurance guidelines could tie captive agents' hands

By Darla Mercado
RETIREMENT PLANNING JUL 22, 2012
ESOPs may help business owner clients retire

By LKUYKENDALL
RIA NEWS JUL 22, 2012
RIA units at Schwab, TD Ameritrade drive assets

By DJAMIESON
RIA NEWS JUL 22, 2012
Test-driving retirement plans

By MFXFeeder
INDEPENDENT BROKER DEALERS JUL 22, 2012
Rep's example sends IBD CEO on a mission

By Liz Skinner