In their biennial tracking of the compliance violations of small investment advisers, state regulators have found a slight uptick in deficiencies per adviser, with about 45% of advisers found to have at least one books-and-records violation
The top fund hawkers generally take the same approach to winning over advisers
A U.S. Treasury Department watchdog said 2.1 million taxpayers may have received “erroneous” education-related tax credits totaling about $3.2 billion.
TD Ameritrade's Tom Bradley discusses the recent rapid and major changes that are now shaping the advisory industry landscape. INTV reports from the Market Counsel 2011 Summit.
Utah Senator Orrin Hatch is urging the Obama administration to back away from a proposal to cap itemized deductions at 28%.
Equity market volatility is creating opportunities for investment advisers to expand their businesses, according to Tom Bradley, president of TD Ameritrade Institutional.
Raymond James Financial Inc. aims to have a no-fee ETF program up and running within six months.
Raymond James' retail businesses are still a steadying force during difficult times for its capital markets units.
Aging baby boomers represent a historic opportunity to boost the sales of income-generating investment products, according to industry leaders who kicked off the Insured Retirement Institute conference in Boston last Monday
Levy would fund jobs bill; given GOP opposition, 5% rate also likely probability of passage
Bernie Clark, head of Schwab Advisor Services, apologized last week to the firm's RIA clients, expressing regret for a marketing piece sent to advisers' clients who sponsor Schwab-held retirement plans
Millions of investors are at risk of being defrauded because the SEC lacks the financial resources to do an adequate job of policing the advice business
Rich Lowrie serves as economic adviser to Herman Cain
The investment adviser's job has never been more difficult
Small-business hiring stalled in September as owners await signs of an improving economy, but the picture is brighter for independent investment advisers, a large RIA firm argued.
The latest scrum over how to boost oversight of financial advisers suggests that independent advisers may have to accept an entirely new self-regulator if they want to avoid coming under Finra's jurisdiction
Number of RIAs down 1%; the good news: AUM up 13.7%
