Legislation includes SEC study of B/D, advisor regulation; requires hedge funds to register with SEC; raises advisor assets threshold 3/15/2010 12:00:00 AM By Melanie Waddell Legislation includes SEC study of B/D, advisor regulation; requires hedge funds to register with SEC; raises advisor assets threshold Big increase in eligibility follows removal of income limits 3/15/2010 12:00:00 AM By Michael S. Fischer Big increase in eligibility follows removal of income limits. Schwab sees areas of improvement and concern in economy 3/15/2010 12:00:00 AM By Ron Pechtimaldjian Schwab sees areas of improvement and concern in economy Nobel laureates, economists, industry luminaries sign statement from Committee for Fiduciary Standard 3/15/2010 12:00:00 AM By James J. Green Nobel laureates, economists, industry luminaries sign statement from Committee for Fiduciary Standard
3/15/2010 12:00:00 AM By James J. Green What's happening this week. International survey finds DC plans remain valuable business-building tools 3/15/2010 12:00:00 AM By Ron Pechtimaldjian International survey finds DC plans remain valuable business-building tool first Centralized client service organization aimed at RIAs, B/Ds, family offices, and traders 3/15/2010 12:00:00 AM By Robert F. Keane Centralized client service organization aimed at independent advisors, B/Ds, family offices, and traders Financial plan development course now required for certification 3/12/2010 12:00:00 AM By Robert F. Keane Financial plan development course now required for certification. Kohl’s amendment to Dodd’s reform bill would lump advisors, brokers under one regulatory umbrella 3/11/2010 12:00:00 AM By Melanie Waddell Kohl’s amendment to Dodd’s reform bill would lump advisors, brokers under one regulatory umbrella Report says Overdahl was criticized by GOP commissioners 3/10/2010 12:00:00 AM By Melanie Waddell Report says Overdahl was criticized by GOP commissioners New roles for Dell’Orfano, Fiske, and Masiello 3/10/2010 12:00:00 AM By James J. Green New roles for Dell’Orfano, Fiske, and Masiello Global investors collaborate to study the impact of climate change on strategic asset allocation for pension funds and asset managers 3/10/2010 12:00:00 AM By Robert F. Keane Global investors collaborate to study the impact of climate change on strategic asset allocation for pension funds and asset managers.
3/10/2010 12:00:00 AM By Maya Ivanova Former baseball player and manager Yogi Berra one quipped that baseball is 90% mental and the other half is physical. Third annual list will complement annual women in wealth survey 3/8/2010 12:00:00 AM By James J. Green Third annual list will complement annual women in wealth survey
3/8/2010 12:00:00 AM By James J. Green What's happening this week. Zebra Capital chairman sees liquidity as one of five main drivers of returns 3/8/2010 12:00:00 AM By James J. Green Zebra Capital chairman sees liquidity as one of five main drivers of returns Record filings follow SEC calls for more corporate attention to problem 3/4/2010 12:00:00 AM By Robert F. Keane Record filings follow SEC calls for more corporate attention to problem Asks Congress to schedule a vote in a few weeks 3/3/2010 12:00:00 AM By Melanie Waddell Asks Congress to schedule a vote in a few weeks Healthcare costs for retirees, including nursing home care, average $260,000 and can exceed $500,000 3/3/2010 12:00:00 AM By Melanie Waddell Healthcare costs for retirees, including nursing home care, average $260,000 and can exceed $500,000 Agencies say $2.8 trillion muni bond market continues to grow in complexity and size 3/2/2010 12:00:00 AM By Melanie Waddell Agencies say $2.8 trillion muni bond market continues to grow in complexity and size. CFP Board assures that certificants won’t be disadvantaged by delay 3/2/2010 12:00:00 AM By Robert F. Keane CFP Board assures that certificants won’t be disadvantaged by delay.
3/1/2010 12:00:00 AM By Ben Warwick Warwick is currently traveling in Europe. As he surveys the global economic and financial market landscape, he sends along the following thoughts Custody rule takes affect March 12; SEC working on final pay-to-play rule 3/1/2010 12:00:00 AM By Melanie Waddell Custody rule takes affect March 12; SEC working on final pay-to-play rule.
3/1/2010 12:00:00 AM By James J. Green What's happening this week. Sale of AIA allow faster payback to the government 3/1/2010 12:00:00 AM By James J. Green Sale of AIA allow faster payback to the government Inclusion of amendment deleting fiduciary standard prompts objections from industry groups 2/25/2010 12:00:00 AM By Melanie Waddell Inclusion of amendment deleting fiduciary standard prompts objections from industry groups Largest independent B/D adds 750 new advisors to its fold 2/25/2010 12:00:00 AM By James J. Green Largest independent B/D adds 750 new advisors to its fold Amendment asks SEC to study advisor/broker obligations 2/24/2010 12:00:00 AM By Melanie Waddell Amendment asks SEC to study advisor/broker obligations With money flowing to asset allocation funds, which should you consider for clients? 2/24/2010 12:00:00 AM By Vaughan Scully With money flowing to asset allocation funds, which should you consider for clients? Dodd, Corker, Shelby expected to release revised bill next week 2/23/2010 12:00:00 AM By Melanie Waddell Dodd, Corker, Shelby expected to release revised bill next week Like 401(k) plans, 403(b)s must now file full Form 5500 electronically 2/22/2010 12:00:00 AM By Melanie Waddell Like 401(k) plans, 403(b)s must now file full Form 5500 electronically Former diplomat tells IRI attendees to expect 2% growth moving forward 2/22/2010 12:00:00 AM By James J. Green Former diplomat tells IRI attendees to expect 2% growth moving forward RJ board confirms succession plan; declares dividend for 25th straight year 2/22/2010 12:00:00 AM By James J. Green RJ board confirms succession plan; declares dividend for 25th straight year
2/22/2010 12:00:00 AM By James J. Green What's happening this week. IRI, Beacon Research find total fixed annuity sales in ’09 at $105 billion 2/19/2010 12:00:00 AM By Melanie Waddell IRI, Beacon Research find total fixed annuity sales in ’09 at $105 billion. Pooled vehicles may offer a cheaper option than mutual funds 2/17/2010 12:00:00 AM By Savita Iyer-Ahrestani Pooled vehicles may offer a cheaper option than mutual funds Lifetime Wealth Strategies includes value of human capital 2/17/2010 12:00:00 AM By Savita Iyer-Ahrestani Lifetime Wealth Strategies includes value of human capital Johnson amendment would delete broker fiduciary requirement from financial reform bill 2/17/2010 12:00:00 AM By Melanie Waddell Johnson amendment would delete broker fiduciary requirement from financial reform bill Strategic Ethos to focus on leadership and decision-making 2/17/2010 12:00:00 AM By Kathleen M. McBride Strategic Ethos to focus on leadership and decision-making The 120 advisors teams with Barclays Wealth target clients with at least $10 million in assets. 2/17/2010 12:00:00 AM By Jane Wollman Rusoff The 120 advisors teams with Barclays Wealth target clients with at least $10 million in assets. Recruited advisors continue to join Raymond James from Merrill Lynch, Morgan Stanley Smith Barney and Wells Fargo Advisors. 2/17/2010 12:00:00 AM By Janet P. Levaux Recruited advisors continue to join Raymond James from Merrill Lynch, Morgan Stanley Smith Barney and Wells Fargo Advisors. Acquisition will include Rydex|SGI 2/16/2010 12:00:00 AM By James J. Green Acquisition will include Rydex|SGI Greater financial education and advice for workers would support the success of reform initiatives 2/16/2010 12:00:00 AM By Andy Sieg Greater financial education and advice for workers would support the success of reform initiatives
2/16/2010 12:00:00 AM By James J. Green What's happening this week.
2/11/2010 12:00:00 AM By Maya Ivanova Social media has surged in popularity in the past year. More than 43% of those who use the Internet now use social networking sites Attendance matches confidence of top TD officials 2/8/2010 12:00:00 AM By James J. Green Attendance matches confidence of top TD officials Private equity firm renames FNIC, Multi-Financial, and PrimeVest as Cetera Financial 2/8/2010 12:00:00 AM By James J. Green Private equity firm renames FNIC, Multi-Financial, and PrimeVest as Cetera Financial Adds five firms with 18 professionals to partnership 2/8/2010 12:00:00 AM By James J. Green Adds five firms with 18 professionals to partnership
2/8/2010 12:00:00 AM By James J. Green What's happening this week. N.Y. attorney general charges the bank, as well as former CEO and CFO 2/4/2010 12:00:00 AM By Kathleen M. McBride N.Y. AG Andrew Cuomo charges the bank, Ken Lewis and Joseph Price After heated debate, Senate confirms Bernanke as Fed Chair 2/1/2010 12:00:00 AM By Melanie Waddell After heated debate, Senate confirms Bernanke as Fed Chair
2/1/2010 12:00:00 AM By Ben Warwick There is nothing worse than a trading day that starts with the promise of big gains but instead results in a sell-off.
2/1/2010 12:00:00 AM By James J. Green What's happening this week. Quest to make financial planning a profession continues. 2/1/2010 12:00:00 AM By Kathleen M. McBride Quest to make financial planning a profession continues. Portfolio reporting firm makes its own inroads into advisor market; hires former Schwab executive Welling 1/28/2010 12:00:00 AM By James J. Green Portfolio reporting firm makes its own inroads into advisor market; hires former Schwab executive Welling Rydex survey shows a demand for education as alternative investments become mainstream 1/28/2010 12:00:00 AM By Robert F. Keane Rydex survey shows a demand for education as alternative investments become mainstream Commission takes no position on climate change only risk factors companies must reveal 1/28/2010 12:00:00 AM By Robert F. Keane Commission takes no position on climate change only risk factors companies must reveal New OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams 1/27/2010 12:00:00 AM By Melanie Waddell New OCIE director to focus on ways to better integrate B/D, advisor, mutual fund exams FSI lays out its agenda, starting with preservation of independent contractor status 1/27/2010 12:00:00 AM By James J. Green FSI lays out its agenda, starting with preservation of independent contractor status Results for SRI funds cover nearly all asset classes—especially large cap funds 1/27/2010 12:00:00 AM By Robert F. Keane Results for SRI funds cover nearly all asset classes—especially large cap funds A tidal wave of money flows to equity mutual funds with international exposure 1/27/2010 12:00:00 AM By Vaughan Scully A tidal wave of money flows to equity mutual funds with international exposure
1/25/2010 12:00:00 AM By James J. Green What's happening this week. As House passes bill on tax deductions for Haiti, AICPA posts reminders on how to give prudently 1/25/2010 12:00:00 AM By James J. Green As House passes bill on tax deductions for Haiti, AICPA posts reminders on how to give prudently After Smith Barney merger, advisors have an average of $692,000 in trailing-12-months' sales and $86 million in client assets under management. 1/21/2010 12:00:00 AM By Janet P. Levaux After Smith Barney merger, advisors have an average of $692,000 in trailing-12-months' sales and $86 million in client assets under management.
In contrast, rival Morgan Stanley – 18,135 advisors in its Morgan Stanley Smith Barney venture – just reported that its fourth-quarter trailing-12-month sales stand at $692,000. 1/21/2010 12:00:00 AM By Janet P. Levaux In contrast, rival Morgan Stanley – 18,135 advisors in its Morgan Stanley Smith Barney venture – just reported that its fourth-quarter trailing-12-month sales stand at $692,000. 2010 Super Bowl to be played in Sun Life Stadium 1/20/2010 12:00:00 AM By Robert F. Keane 2010 Super Bowl to be played in Sun Life Stadium SEI survey finds both advisors and their clients to be “cautiously optimistic.” 1/20/2010 12:00:00 AM By Kathleen M. McBride SEI finds things are looking up as advisors and their clients are “cautiously optimistic.”
iPhone app can help drive clients to consider the option 1/20/2010 12:00:00 AM By Savita Iyer-Ahrestani iPhone app can help drive clients to consider the option Practice management platform offers retirement data and analysis fee comparison 1/20/2010 12:00:00 AM By Savita Iyer-Ahrestani Practice management platform offers retirement data and analysis fee comparison
1/19/2010 12:00:00 AM By James J. Green What's happening this week. Industry musters money and more for earthquake relief 1/18/2010 12:00:00 AM By Robert F. Keane Industry musters money and more for earthquake relief Group reportedly hires lawyer to investigate Constitutional issues 1/18/2010 12:00:00 AM By Robert F. Keane Group reportedly hires lawyer to investigate Constitutional issues Bank compensation on House menu as Dodd mulls leaner CFPA 1/18/2010 12:00:00 AM By Melanie Waddell Bank compensation on House menu as Dodd mulls leaner CFPA Restore provisions of Glass-Steagall, reinstate state oversight of Rule 506, and boost state regulation of advisors 1/14/2010 12:00:00 AM By Melanie Waddell Restore provisions of Glass-Steagall, reinstate state oversight of Rule 506, and boost state regulation of advisors. Proposes recouping every penny of bailout bucks 1/14/2010 12:00:00 AM By Robert F. Keane Proposes recouping every penny of bailout bucks. |
|