Displaying 68 results
SIFMA lambastes SEC decision
Wall Street's trade group today blasted the SEC's decision allowing the broker-dealer rule to expire.
‘Happyness’ hero to be FPA keynoter
The Financial Planning Association has chosen a man whose life story inspired a Hollywood movie to be the keynote speaker for its annual conference.
Bono to set tone for IMPACT conference
Schwab Institutional will featuring rock star and philanthropist Bono as its keynote speaker for its annual IMPACT conference at Mandalay Bay Hotel & Casino in Las Vegas to be held on Oct. 28-Oct. 31.
Capital requirements worry small firms
IRVINE, Calif. — Small brokerage firms are concerned about possible increases in net capital requirements that the Securities and Exchange Commission has proposed.
Mutual funds withstand hedge fund seige
Despite the continued – if slowing – growth of hedge funds, mutual funds will continue to dominate money management for the foreseeable future, said market observers at the ICI annual conference today.
401(k) fees aren’t everything, says Flanagan
As they examine the 401(k) retirement plan system, policy makers would be wise not to focus all their attention on fees, Martin L. Flanagan, chairman of the Investment Company Institute of Washington said today at the ICI’s general membership meeting.
Senators urge end to mandatory arbitrations
A member of the Senate Banking Committee today joined an effort to get the Securities and Exchange Commission to drop the requirement for mandatory arbitration of securities disputes.
CFA Institute elects board chairman
Emilio Gonzalez was elected chair of the Board of Governors of CFA Institute, the association that administers the Chartered Financial Analyst curriculum and examination program, the CFA announced today.
Women advisers deal with unique issues
Female financial advisers tend to face issues that are different from those of their male colleagues, according to a gathering of women advisers in Chicago on Saturday.
Regulators warn investors of forex fraud
The Commodity Futures Trading Commission has joined up with the North American Securities Administrators Association to issue a joint investor alert warning retail investors to beware of fraudulent foreign currency trades.
FPA plans pro bono forum
The Financial Planning Association will hold its second annual Pro Bono Directors’ Forum in New Orleans on June 15 and 16.
Bradley keen on post B-D rule era
The end of the broker-dealer exemption rule will create a great opportunity for registered investment advisers to build out their firms, said J. Thomas Bradley, president of TD Ameritrade Institutional, speaking in Chicago today.
After-tax wealth planning in the details
It is often paying heed to the details that helps advisers to successfully manage their clients’ after-tax wealth, according to Cheryl Holland, a financial adviser with Abacus Planning Group Inc. in Columbia, S.C.
Thomas Orecchio elected chairman
The National Association of Personal Financial Planners' board has elected Thomas A. Orecchio as its new chairman.
Association debuts benchmarking tool
The National Association of Personal Financial Advisors has launched a new benchmarking tool that will help advisers measure their practices against those of fellow NAPFA members.
Focus on Fiduciary campaign unveiled
The National Association of Personal Financial Advisors has launched its second annual Focus on Fiduciary campaign, which aims to educate Americans about the need for financial professionals to hold themselves to a fiduciary standard.
Clients unclear on ‘fiduciary,’ survey finds
More than a third of clients said that their financial adviser had not properly explained what a fiduciary standard is, according to a survey to be released tomorrow by National Association of Personal Financial Advisors.
Wachovia to bow retirement income account
Wachovia Securities LLC is launching a pilot version of a retirement income management account, Robert Vorlop, director of investment products, told attendees of the Money Management Institute's annual meeting in Washington.
CEFEX unveils PPA-based programs
CEFEX Centre for Fiduciary Excellence, LLC announced that it has introduced an audit and a certification program in response to the Pension Protection Act of 2006.
IMCA eyes its analyst designation
The Investment Management Consultants Association will closely evaluate its Certified Investment Management Analyst designation, said IMCA board president Jeffrey Thomas, speaking at IMCA’s spring conference here in Phoenix.
