Financial plan development course now required for certification.…
Kohl’s amendment to Dodd’s reform bill would lump advisors, brokers under one regulatory umbrella …
Former baseball player and manager Yogi Berra one quipped that baseball is 90% mental and the other half is physical. …
Global investors collaborate to study the impact of climate change on strategic asset allocation for pension funds and asset managers.…
New roles for Dell’Orfano, Fiske, and Masiello…
Report says Overdahl was criticized by GOP commissioners…
Zebra Capital chairman sees liquidity as one of five main drivers of returns…
What's happening this week.…
Third annual list will complement annual women in wealth survey…
Record filings follow SEC calls for more corporate attention to problem…
Healthcare costs for retirees, including nursing home care, average $260,000 and can exceed $500,000…
Asks Congress to schedule a vote in a few weeks…
CFP Board assures that certificants won’t be disadvantaged by delay.…
Agencies say $2.8 trillion muni bond market continues to grow in complexity and size.…
Sale of AIA allow faster payback to the government…
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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. Attrition rate of Merrill brokers at all-time low 1/14/2010 12:00:00 AM By James J. Green Attrition rate of Merrill brokers at all-time low New Office of Market Intelligence will investigate tips and complaints 1/13/2010 12:00:00 AM By Melanie Waddell New Office of Market Intelligence will investigate tips and complaints Blankfein and other Wall Street CEOs take a beating as federal investigators probe them on causes of financial crisis 1/13/2010 12:00:00 AM By Melanie Waddell Blankfein and other Wall Street CEOs take a beating as federal investigators probe them on causes of financial crisis
1/13/2010 12:00:00 AM By Maya Ivanova It’s no secret that 2009 was a rebound year for both the market and the average advisor Fee-based independent Broker/dealers gain access to famed strategies. 1/12/2010 12:00:00 AM By Kathleen M. McBride Fee-based independent Broker/dealers gain access to famed strategies. Also introduces new fee-based portfolio advisory program of ETFs 1/11/2010 12:00:00 AM By James J. Green Also introduces new fee-based portfolio advisory program of ETFs
1/11/2010 12:00:00 AM By James J. Green What's happening this week. |
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