NEW YORK — Recent changes in management at independent-contractor broker-dealer National Planning Corp. and National Planning Holdings Inc., its broker-dealer network, have some of its affiliated advisers concerned, while others accept the changes as part of the business.
PHILADELPHIA — A mutual fund company is taking a chance on the burgeoning market of infrastructure investments.
NEW YORK — After receiving suggestions from financial professionals, the Social Security Administration has designated a section of its website specifically for advisers.
CHICAGO — Data gathered by Boston-based research firm Cerulli Associates Inc. confirm what most observers have long suspected: Fidelity Investments is the nation’s individual-retirement-account powerhouse.
SAN FRANCISCO — The U.S. economy has some shaky elements, but Federal Reserve Board Chairman Ben S. Bernanke’s track record still is rock solid, according to financial advisers, chief economists and other executives in the investments industry.
WASHINGTON — Disclosures of 12(b)-1 fees should be made clearer and easier to decipher, but the fees themselves should not be abolished, officials from the mutual fund and brokerage industries said at a Securities and Exchange Commission round table last week.
NEW YORK — Advisers may want to exercise some tough love when their clients approach them about going back to school for an advanced degree.
IRVINE, Calif. — NASD and the New York Stock Exchange this month released long-awaited guidance to brokerage firms on how to supervise electronic communications.
Bear Stearns will chip in up to $3.2 billion to help one of its struggling hedge funds
Hedge fund and private-equity fund managers would pay higher taxes under a bill introduced today.
