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Talks begin on tax cuts; House vote set for tomorrow
The U.S. House set a vote for tomorrow on Democrats' plan to extend middle-class tax cuts as congressional and Obama administration negotiators started talks aimed at forging a bipartisan compromise.
<b> Practice management: </b>Start succession planning early
Although about 60% of financial advisers are baby boomers heading toward retirement, only about one quarter of them have a succession plan in place, according to Cerulli Associates Inc.
VA market share batttle pits Goliaths vs. Goliaths
Though the top three sellers of variable annuities extended their grip on the U.S. market through the first nine months of 2010, smaller-share players have become more aggressive in order to compete.
The top 100 financial advisers? One firm dominates
Barron's annual ranking shows that Morgan Stanley may not be having that tough a time bringing Smith Barney into the fold
Is Schwab booting custody clients that hire its brokers?
The president of a broker-dealer says that Charles Schwab took some of his assets off a custody platform after he hired a former Schwab employee. An isolated event? An attorney claims he has handled several cases over the last year arising from similar moves by the discount broker.
What the new tax plan means for the markets
Stocks rose, copper and gold climbed to all-time highs and Treasuries fell after President Barack Obama agreed to extend tax cuts, offsetting concern that Europe's debt crisis will spread further.
Bush-era tax cuts: The six key terms on the table
President Barack Obama and congressional Republicans kick-started negotiations today at the White House over a possible extension of Bush-era tax cuts that are set to expire Dec. 31.
Put 12(b)-1 reform on the front burner
The SEC should move with haste to revamp 12(b)-1 fees
RIA audits less frequent, tougher and ‘kind of mean’
Dodd-Frank will be leading to changes in the SEC's adviser exam program, according to Robert Stype, managing partner at ACA Compliance Group.
Superstar snatched from ruins of Wall St. to fledging RIA
Wall Street is likely to lose yet another superstar securities broker to the investment advisory side of the business, as Richard Saperstein prepares to leave JPMorgan Securities and take his $10 billion book of business to a startup, according to sources.
<b>Special report:</b> The top RIAs
Who are the largest RIAs in the country? What firms are growing faster than all of the others? Find out in the latest quartely version of this InvestmentNews special report
Coalition puts tax strategy patents in its cross hairs
A broad coalition of accounting, financial planning and consumer groups are hoping that the new Congress will take up a long-sought-after ban on the practice of patenting tax strategies
Four steps to finding new clients with LinkedIn
The following is a 4 Step process to building a pipeline in the matter of a few months (maybe even weeks) by utilizing this feature. The concept is simple, but takes some discipline to follow.
Tax breaks on brink? ‘Zero plan’ moves forward
Leaders of a presidential deficit commission recommend the elimination of all tax breaks for retirement, life insurance and employer-sponsored health care plans in their final report, which was released Wednesday and will be voted on by the full panel Friday morning.
House fires opening salvo in tax-cut tussle
The House of Representatives approved on Thursday a bill that would permanently extend Bush administration tax cuts for the middle class but allow rates for wealthier taxpayers to increase.
‘Zero plan’ chopped — but tax breaks still on the block
Congress won't act directly on a proposal approved by a presidential deficit commission this week, but elements of the plan could become part of legislative proposals in coming months to address huge fiscal imbalances.
Deficit panel’s ‘zero plan’ could do a number on insurers, advisers
Preferential tax treatment for retirement programs and insurance products are threatened in a draft proposal from the chairmen of the national deficit commission, according to advocates.
Reps looking to bail on besieged B-D: Recruiter
Representatives and advisers at Brewer Financial, a Chicago-based independent broker-dealer, are said to be looking to jump ship after the Securities and Exchange Commission charged the firm and its top two executives with fraud in selling $5.6 million in promissory notes to 74 investors.
Inside track
Advocates of a universal fiduciary standard of care for all advisers and brokers are hoping that the recent insider trading probe will help their cause.
Fiduciary standard and adviser pay are separate issues
In our industry, there is never a shortage of debate on the areas that affect the sale and delivery of financial advice to investors
