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Budget, health care bill changes starting to add up
Financial planners and accountants are in for a busy year or two if President Barack Obama gets his way on the budget and a health care reform bill.
Advisers look for ways to squeeze money from their tech budgets
Many financial advisers who attended the Technology Tools for Today conference last week are looking to squeeze as much money as they can from their precious technology budgets.
SEC needs to remember that investors come first
Like the public's trust and confidence in Wall Street, faith in the Securities and Exchange Commission was shattered as a result of the 2008 financial meltdown.
J.D. Power expands broker study to include independents
Adviser satisfaction with independent broker-dealers will be ranked separately for the first time by J.D. Power and Associates, the company said today, as it launched its annual survey of adviser satisfaction with their brokerage firms.
Jobs and economy take center stage – for the moment
Employment is now job one at the White House.
Slimmer variable annuities attract thin following
Despite the market's lukewarm reception to John Hancock's slimmed-down variable annuity, other insurers continue to introduce competing products aimed at financial advisers who have usually sidestepped such VAs.
The last laugh
For most investors, not having access to their money is a drawback.
Time for compromise on Capitol Hill
The Senate this week begins debate on its version of a financial-reform bill.
Wash. State floats ‘shocking’ changes to estate tax
A bill has been introduced in the Washington state legislature that would double estate taxes for residents.
Cloudy with a chance of tech spending
Mostly mixed clouds and some sun today in La Jolla, not the constant bright sunshine that can entice…
When clients and advisers become friends
While practice management experts said advisers must maintain a fine line between finances and personal issues, it's not uncommon for advisers to forge close friendships with their clients.
Compliance products exec sitting pretty with Clinton/Bush debate chairs
Ken Kaltman, chief operating officer at National Compliance Services, Inc. in Delray Beach, Fla., will soon have a lasting memento of his $15,000 donation to the Clinton Bush Haiti Fund. He'll be the proud owner of the wingback chairs that both former presidents actually sat in for their “debate” at the TD Ameritrade conference earlier this month.
Taxpayers on track to get record $180B in refunds
That's good news for consumer-oriented companies, which are likely to benefit from more incremental spending
Fiduciary setback: Your greatest marketing opportunity ever?
The failure of Congress to strip the fiduciary exemption from broker-dealers may turn out to to be the greatest marketing opportunity ever for financial advisers
HighTower exec says advisers are not a distribution channel
Financial advisers and brokers should “seize the day,” and “embrace and leverage open architecture products,“ according to David Pottruck, co-chairman of HighTower Advisors LLC in Chicago.
HighTower elevates Pottruck, adds two top execs
HighTower Advisers, the registered investment advisory firm and rising independent broker-dealer powerhouse, has built out its management team and expanded the role of one of its top directors: David Pottruck, the former chief executive and president of The Charles Schwab Corp.
Wealth managers: Next overseas surprise is anyone’s guess
Stocks have been in flux over the past few weeks as surprises kept coming from overseas. Greece's debt crisis, similar troubles in Portugal, and China's latest moves to slow down its economy have kept investors guessing.
More funding won’t boost SEC’s exams
The Securities and Exchange Commission plans to inspect just 9% of the 11,000 investment advisory firms that it oversees — the same percentage of firms it expects to examine this year.
Investment advisers worried about surprise audits, says PwC accountant
Many investment advisers are trying to determine whether they will be subject to new audits under custody rules that take effect March 12, according to Chris Thompson, assurance partner in the asset management practice of PricewaterhouseCoopers LLP.
