LPL Financial soon will unveil to its representatives an expanded menu of fee-based VAs — a product that has proved unpopular among brokers so far.
If the government closes, the SEC will send most of its employees home. Another casualty: adviser registrations, which will be halted.
GOP budget cuts could end up declawing financial reform, the SEC boss warns
TD Ameritrade is urging RIAs to tell Congress to stick with SEC oversight of industry -- and is even advisers a sample letter to make it easier for them to weigh in.
Agency's much-anticipated report on adviser oversight fails to offer single approach; controversy ahead
The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics.
In the world of variable annuities, 2010 may have been the year of the guaranteed-minimum-withdrawal benefit
To make their variable annuities more attractive, insurers revved up living-benefit features last year
Summary prospectuses for variable annuities are supposed to help consumers make informed decisions about buying these complicated investments
Like other brokerage firms, The Charles Schwab Corp. is known to be self-protective about its discount brokerage customers. And like other firms, it has sued former brokers whom it suspects of violating prohibitions against soliciting clients.
The Charles Schwab Corp. has come out against the idea of creating a self-regulatory organization for advisers.
TD Ameritrade Institutional continues to leverage one factor that distinguishes it from its larger competitors for the assets of advisers: its advocacy efforts
Despite end of secret bank accounts, Swiss banking giant starting to attract more money from rich clients; profit margins still 'fairly poor'
With the deadline approaching for the SEC to deliver a much-anticipated report about the regulation of financial advisers, the fight over establishing a universal standard of care is heating up
The final report from the Financial Crisis Inquiry Commission is a disappointment
'One thing Congress isn't going to do is give the SEC a bunch more money,' says Schweiss
NASAA president David Massey sits down with <i>InvestmentNews</i> reporter Liz Skinner and discusses the potential impact of Finra regulation over investment advisers, and also how state regulators will deploy "more intelligent regulation" as they take on the oversight of all investment advisers under $100 million. <a href=http://assets.investmentnews.com/Bruno/massey_final.mp3>(Click here to listen.)</a>
Linkup aimed at helping Pettinga Financial cope with 'onslaught' of new regulations
The devil, as the old saying goes, is in the details
We applaud President Barack Obama's executive order to restore “balance” to federal regulation and weed out rules that stifle job creation and make the U.S. economy less competitive
