Waters' legislation aims to retain SEC examinations of investment advisers; all registered firms would be assessed a charge
CPAs say uncertainty impedes proper estate planning, places undue burden on taxpayers
78% of advisers lack access to clients' full financial pictures but continue to advise anyway
The list is aimed at those with more than $20 million in investible assets
Advisors Solutions unit surpasses $100 billion mark in RIA assets under custody
Firm's boss says HOST system shows strengths, weakness of other firm's systems; can influence pricing
Hamburger thinks other options — the SEC, a new regulator — not viable; 'bad blood'
Hatch joined Smith Barney in 1992; big promotion a year ago
A new survey shows the majority of advisers would like to see Mitt Romney elected President. But those same advisers also believe they're in the minority on that score.
Backing of B-D regulator as investment adviser regulator hardly a ringing endorsement
As incomes have skyrocketed, so have their volatility
Cliff Popper, a broker notorious for high living and high commissions from sales of mortgage-backed securities, committed suicide on Tuesday.
