As exchange traded funds proliferate, ETF producers are getting more aggressive when it comes to pitching product.
Advisers are using creative techniques to work within the dense tax code to help their clients reduce their tax payments.
State regulators, led by Massachusetts’ William F. Galvin, are stepping up their attacks on financial scam artists who prey on senior citizens.
Industry observers are worried about the potential effect of an NASD proposal to eliminate the definition of “office of supervisory jurisdiction” and in its place create four new branch-office categories.
The Financial Services Institute Inc. hopes to bend the ear of the consulting firm chosen by the Securities and Exchange Commission to consider the effect on investors of applying differing regulatory standards to broker-dealers and investment advisers.
As indexes developed specifically for exchange traded funds proliferate, so do concerns about potential conflicts of interest that may exist when index providers reach for extra performance.
LPL Financial Services Inc.’s plan to acquire three broker-dealers owned by Pacific Life Insurance Co. came as little surprise to many in the industry, though the deal has raised a few key questions, industry observers and advisers say.
Ultrawealthy clients with investible assets of $40 million to $50 million rapidly are emerging as one of the most coveted segments of the wealth management business.
NEW YORK — The ever-evolving need for assisted-care facilities for the elderly and increased concern over energy policy have created opportunities for municipal bond portfolio managers.
The Securities and Exchange Commission is considering whether to raise the financial bar for investing in private-investment pools other than hedge funds.
