Although many federally registered advisers were scrambling last week to meet the March 31 filing date for the new ADV Part 2 forms, state-registered advisers in several states, including Michigan, Pennsylvania and Texas, were enjoying a bit of a reprieve
Republican lawmakers should stand down in their efforts to delay and obstruct the shaping of the Consumer Financial Protection Bureau, which if properly implemented will go down in history as the most significant and innovative change to come out of the Dodd-Frank financial reform law
Advisers and Generation X and Y investors aren't seeing eye to eye on investment issues
Many fee-based advisers leaving money on the table; cheaper rates do not bring in more clients
Investors get all hopped up when takeover rumors begin to swirl around a company. But contrary to conventional wisdom, sweetened bids or rival acquirers do not always materialize.
Many financial advisers are finding out that they aren't as fluent in English as they thought
Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month.
A recent court decision against Pacific Life Insurance Co. may give advisers and broker-dealers legal leverage against insurers that take too long to perform Section 1035 exchanges of variable life policies.
Housing prices are once again on the decline. These ten U.S. cities were the biggest losers over the past year.
Retirement funds not even close to what employees say they'll likely need; confidence level lowest in 20 years
Escalating political unrest in Libya proved to be the tipping point last week for a U.S. stock market that might have been looking for an excuse to pull back from an extended rally.
Todd S. Thomson, Citigroup Inc.'s former head of wealth management, lured a top Bank of America Corp. financial adviser with $5.9 billion in client assets to join a new business that caters to independent advisory firms.
A.G Edwards, a unit of Wells Fargo, agrees to settle charges filed by Missouri regulators arising from the sales of variable annuities to seniors
Share prices have yet to catch up with historic rebound in corporate profits; 'self-sustaining recovery'
House Republicans want the SEC to halt its fiduciary duty rulemaking. Why? The GOP lawmakers say the commission needs to look harder at the impact of a universal standard of care.
Preoccupied by a battle over federal spending, Congress has barely begun considering another piece of budget balancing: comprehensive tax reform
With the economy seemingly on the mend, newbie financial advisers are finding that it's a great time to be breaking into the game
With a number of indie B-Ds shuttering in the last 12 months, nearly 2,400 reps have been forced to find new broker-dealers.
