Supercommittee notion of doing away with exemption not so super; going down the Whitney path
Survey indicates public profile of certified financial planners on the rise
Survey also finds planners mostly serve 'mass affluent'; fewer women are certificants, however
Mohrman-Gillis wants SEC to oversee investment advisers; Finra 'not experienced' in upholding fiduciary standards
Fee-only financial advisers have long held themselves out as being more ethical than commissioned stockbrokers. Fee-only advisers claim to adhere to a fiduciary standard that requires them to act in the best interests of their clients, meaning that they must set aside their personal interests and fully disclose all their fees and any conflicts of interest
With stock trading down, the major online brokerage firms continue to ramp up their options-trading capabilities. While futures generate sizable commissions, critics worry that the use of greater leverage could leave less-sophisticated investors wondering where their money went.
United Capital Financial Advisers LLC's purchase of Peak Capital Investment Services LLC last week is a sign of the times
Assets held in Section 529 college savings plans that are sold directly to consumers are accumulating faster than for those plans sold through financial advisers — and experts say advisers are the reason why.
Ameriprise Financial Inc. and Lincoln National Corp. have strong VA hedging programs, Moody's Investors Service said in a report on the most frequently asked questions about variable annuities
RIA client assets that changed hands through acquisitions soared in the first half this year, but valuations of the firms are still below the 2008 peak
Close to 110 mergers and acquisitions completed; M&A discussions 'back on the front burner'
Charles Schwab Corp., the largest independent brokerage by client assets, reported third-quarter profit that met projections after it settled claims about misleading investors and revenue from trading declined.
It's a good time to sell a financial advisory business, especially if the owners have spent the past decade planning their exit.
Voted top financial adviser in Arizona in 2009, Pupillo leaves MSSB fold
A bill in California bill that would punish firms for misclassifying employees as independent contractors was amended to lighten the compliance burden for broker-dealers.
Along with the thousands of advisers under one roof here at the Schwab Impact conference in San Francisco, there are also thousands of opinions on issues ranging from economics to politics.
The brokerage industry's recruitment protocol, which is credited with reducing litigation when advisers change firms, might be becoming a victim of its own success
Republicans OK with axing tax deductions for the rich, but marginal tax rates still a bone of contention
