Advisers notified clients about planned reduction in features, hike in fees
Finra is seeking to shut down a broker-dealer it alleges is selling fraudulent oil and gas private placements.
Axa Equitable Life Insurance Co. has paired up with Wilshire Associates Inc. to give small and midsize retirement plans access to fiduciary services.
The U.S. Securities and Exchange Commission has named Julius Leiman-Carbia as an associate director to lead the agency's national broker-dealer examination program.
Independent financial advisers slam his economic policies; Reagan still the man
Greater certainty around taxes spurs increased donations to donor-advised funds
In a move likely to be closely watched by the financial planning community, a leading adviser-credentialing organization is reforming its ethics requirements to focus on its own conduct and practice standards
Residential real estate prices dropped in January by the most in more than a year, raising the risk that U.S. home sales will keep slowing
SEC nixes April-June target to gather more industry feedback
Or at least, that's the concern of top economist Bruce Kasman, who is worried about a simultaneous recovery in both developing and emerging nations. Why? Because it would ignite inflation -- and torch bondholders in the process.
B-Ds and wirehouses have set aggressive recruiting numbers. One thought: Be careful what you wish for.
Negative outlook sends stock markets tumbling; 'material risk' lawmakers won't agree on budget cuts
The tax deal reached in December by congressional leaders and the Obama administration is fueling a boost in donations into donor-advised funds.
President Barack Obama is making his clearest pitch yet for an overhaul of the entire U.S. tax code for individuals and businesses, and the wealthy probably won't like it.
Johannessen says proposed 39.6% top marginal rate spooking more-affluent filers
Putnam Investments has released a series of three new retirement income funds and paired it with a planning tool for financial advisers.
Absolute Return 500 aims to tamp down volatility
Despite billion of dollars in outflows, American Funds is the most popular fund group among independent broker-dealers, according to a survey conducted by <i>InvestmentNews</i>.
