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This time, will the SEC get its man?
The SEC has snagged a big fish, but it remains to be seen if the securities cops and…
The quest for retirement income
Although the market rebound since March has helped ease retirement-funding concerns among investors and advisers alike, a sense of uncertainty lingers.
Roth IRA can affect homebuyer credit
The latest version of the tax credit for first-time homebuyers has two new features that may make the credit more widely available, which means more clients with Roth conversion income may be affected.
New tools available for end-of-life planning
Several websites are now available to assist and guide advisers and their clients through the process of legacy planning.
Remembering a life of passion
If there is one word to describe Donald Robert Pitti, the financial planning pioneer who died Dec. 18 at the age of 80, it would be “enthusiasm.”
Is high unemployment an ugly long-term trend?
The nation's 10.2% unemployment rate — the highest level in 23 years — is being viewed by some analysts not as a peak but as the beginning of a sustained period of above-average unemployment.
SEC wilts on surprise adviser audits
The SEC is backpedaling on a proposal that would require advisory firms that deducted fees from client accounts to undergo costly surprise audits.
Industry groups feeling the pinch from the economy
The economic downturn is hurting the associations that represent financial planners, investment advisers and big brokerages.
Warring wirehouses add fuel to hiring fire
The broker recruiting wars are heating up, with wirehouses jacking up their offers to new heights to lure more representatives in 2010.
The adviser’s intellectual
Advisers who grapple with the complexities of retirement income will be getting more help next year from Moshe Milevsky, an associate professor of finance at York University in Toronto and executive director of the Individual Finance and Insurance Decisions Centre.
A policy wonk with a mission
J. Mark Iwry is the quarterback of the Obama administration's retirement policy team, but he'll play offense, defense and for the other side when it comes to his mission: to find new ways to help Americans save.
For older Americans, it’s a hard-knock life
The tough economic environment has forced many older Americans into a “recession lifestyle,” in which they're slashing spending and making other sacrifices in order to make ends meet, a new survey has found.
Thomas Samuelson: Investors must think outside the box
A growing demand for commodities in emerging and developing markets requires a new way of analyzing commodity investment strategies, according to Thomas Samuelson, chief investment officer at Advanced Equities Asset Management.
Sizzling emerging markets may have gotten too hot
Emerging markets seem to offer the best prospects for investment, but some observers are warning that rapid capital inflows and rising domestic spending in developing economies are signaling the next bubble.
Labor Department to rework advice reg
Having scrapped a long-delayed Bush-era rule that would have allowed more advisers to work directly with retirement plan participants, the Labor Department is moving to get a more restrictive revision on the books in the next few months.
Have you checked in with clients lately?
Done right, a client survey can help you retain clients, generate referrals and build your business.
Boston Private’s shares jump on buyback of preferred securities
Boston Private Financial Holdings Inc. last week announced that it repurchased $44.5 million of publicly traded convertible-trust preferred securities at a 44% discount to their issuance price in 2004.
Firm based in smaller market has eye on the wider world
In 1986, Thomas A. Muldowney was discouraged by what he was seeing in the financial services industry.
New York asset manager a family firm in more ways than one
At 83, Robert B. Deans Jr. still comes into the office every day.
Firm’s new leader has his sights set on new frontiers
Rolling out of the recession, Aspiriant LLC's newly chosen leader has set his sights on eastward expansion, turning the steering wheel away from sunny California and toward the Midwest.
