Naysayers aside, the CFP's TV ad campaign, part of a new national public-awareness effort, is just the message the retirement-nervous need to see right now.
Pershing executives are warning about a bevy of new regulations and legislation that may blindside some B-Ds and RIAs
Independents are doing most of the deals; difficulty expanding business organically
The largest U.S. broker-dealers may be asked to pay more than $1 million a year to fund annual inspections required by the Dodd-Frank Act, according to a proposal by the panel that oversees public-company audits.
Two leaders of a group of senators trying to convert last year's presidential deficit commission recommendations into legislation plan to take a hard look at eliminating tax breaks which cost a total of $1.1 trillion annually.
RIA firms shouldn't expect the good times to last. After benefiting from strong equity markets in 2009 and 2010, registered investment advisory firms will be battling head winds for the next few years as they seek further growth, observers predict
Bank of America Corp. won a court order temporarily blocking four former employees from using and sharing the bank's client records at their new employer, New York-based Dynasty Financial Partners.
Fidelity Investments is improving services for breakaway hybrid advisers who face bumps in setting up dual advisory and commission businesses, the fund giant announced today.
If it wants to avoid potentially onerous new regulations and a slew of negative headlines, the life insurance industry must band together immediately and establish universally accepted guidelines for identifying deceased policyholders and disbursing benefits to beneficiaries
In addition to satisfying regulators, the wealth of information contained in revised ADV forms may be a gold mine of competitive intelligence
Advisers love exchange-traded funds. What they may not like so much: the execution of ETF trades -- particularly for less liquid funds -- can hit clients in the wallet
With the Bush tax cuts extended for another two years, the status remains quo on major — and imminent — potential changes in tax law, right?
Behavioral-finance experts have come up with a few strategies for financial advisers working to help clients overcome natural human tendencies that can lead to money-related mistakes.
Ten months after the death of its former chief executive, wealth management firm Rockefeller Financial today hired Reuben Jeffery III, a former government official and Goldman Sachs' executive, as its chief executive.
System failures in recent weeks involving such companies as Amazon.com Inc. and Sony Corp. have cast doubts on the security and reliability of cloud computing, and should put financial advisers on high alert
You had to figure the issue of means testing for entitlement programs would split Republicans and Democrats. And it has -- just not the way you'd think.
In its zeal to improve protection of retirement plan participants from bad advice and conflicts of interest, the Department of Labor is proposing a rule change that, though well-intended, is too broad and may leave some participants more vulnerable than they already are
The cumulative wealth of the world's richest households will more than double, to $202 trillion over the next ten years, according to a study conducted by the Deloitte Center for Financial Services and Oxford Economics.
