by
Ray Fazzi
SEC Chairman Mary Schapiro signaled today that the
commission is preparing to take a tougher regulatory stance on retirement
products, hedge funds, OTC derivatives and asset-backed securities.
by
Ray Fazzi
Investors are not as afraid
of keeping their money in the stock market as might be expected, even after
last year's disastrous market collapse, says a new survey by Vanguard.
by
Jeff Schlegel
A trifecta of statistics from Charles Schwab shows that the market
remains fluid for advisors on the move when it comes to changing
channels, M&A activity and management buybacks of advisory...
by Joel P. Bruckenstein
Technology tools can help make Roth conversions easier.
by Kristina Fausti
It appears that the SEC will remain the primary federal regulator of investment advisors, at least for now.
by
Ray Fazzi
Commonwealth Financial Network has launched what it calls
the industry's first fully independent, fee-based retirement plan consulting
platform.
by
Dorothy Hinchcliff
Schwab Advisor Services is eliminating fees on a database that helps advisors sell and buy other firms, a move that's part of a broader effort to enhance services for independents.
by
Dorothy Hinchcliff
Parents of high school children say the amount of their
kids' total college education costs that they can cover has dropped
nearly 27% from last year, according to a Fidelity Investments survey.
by
Jeff Schlegel
Broker-dealers need to be proactive when it comes to lawsuits launched against one of their rogue brokers, say industry experts.
by
Jeff Schlegel
Due to large numbers of financial advisors switching employers during
these topsy-turvy times, $800 billion in client assets will likely
change firms this year, according to Cerulli Associates.
by
Jeff Schlegel
The Lower Brule Sioux Tribe in South Dakota this week announced it
bought Westrock Group Inc., a New York-based financial services firm
that includes an independent broker-dealer.
by
Dorothy Hinchcliff
In an effort to win more RIA business, Fidelity Investments is initiating a sweeping series of prices
reductions for fees, services and products associated with its
custodial services platform.
by
Dorothy Hinchcliff
Los Angeles-based Transamerica Financial Advisors Inc. has completed a
merger with its affiliate, St. Petersburg, Fla.-based InterSecurities
Inc.
by
Dorothy Hinchcliff
Financial company executives continue to misread the types of practice
management and technical support programs their advisors truly want,
according to a new survey.
by
Dorothy Hinchcliff
The Financial Industry Regulatory Authority (FINRA) announced today that it has settled charges involving auction rate securities (ARS) with three more broker-dealers.
by
Ray Fazzi
Schwab Institutional has
launched a redesigned Web site for its independent advisors.
by Andrew Gluck
Schwab Institutional and Albridge up the ante and upgrade their platforms to boost advisor efficiency.
by Joel P. Bruckenstein
A look at whether Monte Carlo simulations help or hinder the planning process.
Foundation Source Expands Philanthropic Services
Foundation Source, a provider of support services for private foundations based in Fairfield, Conn...
