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FINTECH NOV 12, 2014
Ready for prime time: Advisers get into launching their own video series

As video grows in popularity, advisers are using it as a new way to reach clients and prospects.

FINTECH NOV 11, 2014
LPL advisers' commissions land in their bank accounts one day late

As processing error delays commissions by a day, president Robert Moore moves to reassure advisers.

PRACTICE MANAGEMENT NOV 10, 2014
Finra CEO Rick Ketchum backs off data collection plan

In prepared testimony slated for Friday, the Finra CEO says he will not move forward with the regulator's plan for a new data collection system until all industry concerns are addressed.

PRACTICE MANAGEMENT NOV 10, 2014
Pimco paid billionaire Gross $290 million bonus in 2013

In 2013, when Pimco's Total Return Fund trailed a majority of peers, the money manager paid former CIO Bill Gross a gigantic sum.

EQUITIES NOV 10, 2014
Sweet deal at Goldman Sachs lets partners invest alongside the bank

<i>Breakfast with Benjamin:</i> It's all about access at Goldman. Plus: U.S. soldiers sue banks for helping Iran finance attacks in Iraq, adjusting portfolios for a fourth-quarter ride, oil prices are expected to hang low till the next OPEC meeting, and a hats off to companies taking their hats off to veterans today.

PRACTICE MANAGEMENT NOV 10, 2014
Morgan Stanley hits profitability goal with fewer advisers

Morgan Stanley's wealth management unit reaches CEO's 2015 profitability goal early with 22% profit margins in the third quarter

PRACTICE MANAGEMENT NOV 10, 2014
Good work: Finra employees make double industry pay

The average compensation for Finra's 3,400 employees last year was nearly double that of the average worker on Wall Street. Bruce Kelly takes a look at the numbers. <i>Plus:</i> <a href="//www.investmentnews.com/article/20140620/FREE/140629985&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">Finra trims operating loss but comp costs climb</a>

PRACTICE MANAGEMENT NOV 09, 2014
A decade later, compliance regime gives firms an extraordinary opportunity

Rules have changed the investment industry fundamentally by creating the position of CCO and requiring a written compliance program.

FINTECH NOV 09, 2014
Robos need to get on the ball

RIAS NOV 07, 2014
JPMorgan unwinds B-D clearing biz

The firm is teaming up with Fidelity to transition around 100 firms.

PRACTICE MANAGEMENT NOV 07, 2014
Look for the next-gen candidate who interviews you: Expert

Young advisers need to demonstrate 'fire in the belly'

PRACTICE MANAGEMENT NOV 07, 2014
Congressman tells Finra to hold CARDS

Rep. Scott Garrett, the chairman of a House Financial Services subcommittee, calls Finra's data-collection proposal 'costly and burdensome.'

PRACTICE MANAGEMENT NOV 07, 2014
What is a bond really worth?

Recent investigations of Pimco's Total Return Bond ETF and church bonds highlight the need to investigate an investment's truest price.

RIAS NOV 06, 2014
Why advisers are worried about eMoney's acquisition by Fidelity

Deal stirs concerns that Fidelity may cut off other custodian's access to popular software.

FINTECH NOV 06, 2014
Using technology to change clients who don't want to know anything

Three steps to take to help clients understand their financial situation and investment strategy options.

RETIREMENT PLANNING NOV 06, 2014
GOP Senate win gives it the clout to change Obamacare

With Republicans leading the House and Senate next year, the possibility of some reforms to the Affordable Care Act are possible. The rules around the employer mandate seem to be those most likely to find compromise within the Congress and at the White House.

EQUITIES NOV 06, 2014
Investors betting on tech

Friday's <i>Breakfast with Benjamin:</i> Money flowing to technology but record highs mask weakness. Plus: Eaton Vance's big news; BofA's big loss; Home Depot's big data breach; and dreaming big, big, big.

PRACTICE MANAGEMENT NOV 06, 2014
Schwab launches program to boost diversity in RIA industry

Initiative will help educate advisers about recruiting women, young people and minorities.

RIAS NOV 06, 2014
Hedge funds jumping into Puerto Rico muni bonds

Today's <i>Breakfast with Benjamin</i> on hedge funds owning $16 billion in Puerto Rican muni bond debt, the scary similarities between advisers and psychics, why deep-water drilling looks like a bargain, and more.

EQUITIES NOV 05, 2014
Republicans could push for quicker rate hike

<I>Breakfast with Benjamin:</i> Quicker rate hike ahead? Plus: Top Republicans set agenda; greed, fear and fund flows; family offices riding growth of ultrawealthy; Schwab says its robo is no threat; and eating well after work.