What's happening this week.…
Adds five firms with 18 professionals to partnership…
Private equity firm renames FNIC, Multi-Financial, and PrimeVest as Cetera Financial…
Attendance matches confidence of top TD officials…
N.Y. AG Andrew Cuomo charges the bank, Ken Lewis and Joseph Price…
Quest to make financial planning a profession continues. …
What's happening this week.…
There is nothing worse than a trading day that starts with the promise of big gains but instead results in a sell-off.…
After heated debate, Senate confirms Bernanke as Fed Chair…
Commission takes no position on climate change only risk factors companies must reveal…
Rydex survey shows a demand for education as alternative investments become mainstream…
Portfolio reporting firm makes its own inroads into advisor market; hires former Schwab executive Welling…
A tidal wave of money flows to equity mutual funds with international exposure…
Results for SRI funds cover nearly all asset classes—especially large cap funds…
FSI lays out its agenda, starting with preservation of independent contractor status…
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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. Con artists using latest technology to run “pump and dump” and Ponzi schemes 1/6/2010 12:00:00 AM By Robert F. Keane Con artists using latest technology to run “pump and dump” and Ponzi schemes. : Former PricewaterhouseCoopers exec di Florio to strengthen exam division 1/5/2010 12:00:00 AM By Melanie Waddell The SEC has appointed Carlo V. di Florio as director of the agency’s embattled Office of Compliance Inspections and Examinations, which received a lot of scrutiny from Congress and the industry for failing to detect the Bernie Madoff Ponzi scheme.
1/4/2010 12:00:00 AM By Ben Warwick There are a lot of nervous investors around as we begin a New Year and decade. The “blunt tool” of easy monetary policy not to blame, Fed chief says 1/4/2010 12:00:00 AM By James J. Green The “blunt tool” of easy monetary policy not to blame, Fed chief says Asks FINRA to keep old NASD rule provisions 1/4/2010 12:00:00 AM By Robert F. Keane Asks FINRA to keep old NASD rule provisions
1/4/2010 12:00:00 AM By James J. Green What's happening this week. Retail sales through Christmas paced by 15.5% rise in online sales 12/28/2009 12:00:00 AM By James J. Green Retail sales through Christmas paced by 15.5% rise in online sales
12/28/2009 12:00:00 AM By James J. Green What's happening this week. Coaching helps firms grow assets, accounts and efficiency 12/28/2009 12:00:00 AM By Kathleen M. McBride Coaching helps firms grow assets, accounts and efficiency. Advisors who custody assets will also get outside audits 12/22/2009 12:00:00 AM By Melanie Waddell Advisors who custody assets will also get outside audits Entertaining at home may be more popular this season, but it also presents more of a gamble for the wealthy. 12/21/2009 12:00:00 AM By Staff Writer Entertaining at home may be more popular this season, but it also presents more of a gamble for the wealthy.
12/21/2009 12:00:00 AM By James J. Green What's happening this week. Schwab now has six commission-free ETFs; T. Rowe to offer active ETFs 12/20/2009 12:00:00 AM By James J. Green Schwab now has six commission-free ETFs; T. Rowe to offer active ETFs Dividends are a considerable temptation for most investors 12/18/2009 12:00:00 AM By Vaughan Scully Dividends are a considerable temptation for most investors. Long-time partner at value investing firm dies of heart attack 12/18/2009 12:00:00 AM By James J. Green Long-time partner at value investing firm dies of heart attack Putnam survey finds job growth tops consumers’ wish lists for 2010 12/18/2009 12:00:00 AM By James J. Green Putnam survey finds job growth tops consumers’ wish lists for 2010 Pershing study suggests activity will pick up in New Year 12/18/2009 12:00:00 AM By James J. Green Pershing study suggests activity will pick up in New Year Small businesses worry about cost, administrative hassle of complying with new law 12/16/2009 12:00:00 AM By Savita Iyer-Ahrestani Small businesses worry about cost, administrative hassle of complying with new law Significant sales growth expected from those aged 40 to 50 12/16/2009 12:00:00 AM By Savita Iyer-Ahrestani Significant sales growth expected from those aged 40 to 50
12/14/2009 12:00:00 AM By James J. Green What's happening this week. FINRA will not have oversight of advisors associated with B/Ds, for now 12/11/2009 12:00:00 AM By Melanie Waddell The full House approved by a vote of 223 to 202 today, December 11, the sweeping financial services reform bill, the Wall Street Reform and Consumer Protection Act (H.R. 4173). Notes that fight is far from over 12/11/2009 12:00:00 AM By Robert F. Keane Investment Adviser Association Executive Director David Tittsworth issued a statement of approbation. FINRA will not have oversight of advisors associated with B/Ds, for now 12/11/2009 12:00:00 AM By Melanie Waddell The provision that would have given FINRA the authority to inspect and regulate any investment advisor associated with a broker/dealer was successfully deleted from the huge financial services reform bill on December 11. Circuit court expected to act on controversial rule soon 12/10/2009 12:00:00 AM By Melanie Waddell Circuit court expected to act on controversial rule soon Republicans skeptical of new stimulus in White House meeting 12/10/2009 12:00:00 AM By James J. Green Republicans skeptical of new stimulus in White House meeting BrightScope rates the plans with $1 billion or more in assets. 12/9/2009 12:00:00 AM By Kathleen M. McBride BrightScope rates the plans with $1 billion or more in assets. Whether you’re strategic or tactical, the long-term goal is to meet your clients’ objectives 12/9/2009 12:00:00 AM By Maya Ivanova Whether you’re strategic or tactical, the long-term goal is to meet your clients’ objectives
12/7/2009 12:00:00 AM By James J. Green What's happening this week. IRI says Schapiro’s plan is “long overdue” 12/7/2009 12:00:00 AM By James J. Green IRI says Schapiro’s plan is “long overdue” New weekly unemployment claims also decline 12/4/2009 12:00:00 AM By James J. Green New weekly unemployment claims also decline Annual survey from The Hartford finds those who plan for retirement are more optimistic and likely more on target 12/3/2009 12:00:00 AM By Robert F. Keane Americans today are most concerned about meeting basic living expenses in their retirement years according to the 2009 Investments and Retirement Survey from The Hartford Financial Services Group. Democratic bill would make tax permanent 12/3/2009 12:00:00 AM By Melanie Waddell Democratic bill would make tax permanent Full House to begin debating financial reform December 9 12/2/2009 12:00:00 AM By Melanie Waddell Full House to begin debating financial reform December 9 Survey finds ESG not seen as a drag on performance 12/2/2009 12:00:00 AM By Robert F. Keane According to a recent poll of investment consultants in the U.S. socially responsible investing and an attention to environmental, social and corporate governance (ESG) factors are here to stay. College suggests Dodd ask SEC to issue a report on impact of ‘one-size-fits-all’ standard 12/1/2009 12:00:00 AM By Melanie Waddell College suggests Dodd ask SEC to issue a report on impact of ‘one-size-fits-all’ standard Little change in premiums seen for employer-sponsored plans 12/1/2009 12:00:00 AM By James J. Green As debate began in the Senate on healthcare reform following the Thanksgiving recess, the Congressional Budget Office released on November 30
12/1/2009 12:00:00 AM By Ben Warwick The current “it” investment of the moment is gold. Everyone seems to be talking about the rally in what some have described as the last storehouse of value. Pomeroy bill would extend ’09 tax level and impose 45% maximum rate 11/30/2009 12:00:00 AM By Melanie Waddell Pomeroy bill would extend ’09 tax level and impose 45% maximum rate |
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