No surprise here: The Securities Industry Association (SIA) is fighting is against the FPA's lawsuit seeking to have the SEC jettison a rule that exempts broker-dealers from the Investment...
Have a client affected by the recent Florida hurricanes? The Internal Revenue Service has announced special tax relief for Florida taxpayers in the Presidential Disaster Area that was struck by...
Royal Alliance, the large New York City-based independent brokerage, hasacquired High Mark Securities in Lakeland, Fla...
The four-year freeze in the Securities and Exchange Commission's stance on broker-dealer exemptions is beginning to thaw...
National Advisors Trust-the trust company owned and operated by financial advisors-has reached the $2 billion asset mark...
Investors are continuing to embrace 529 college savings plans, according to a new report...
The four-year freeze in the Securities and Exchange Commission's stance on broker-dealer exemptions is beginning to thaw...
Schwab recently announced pricing for PortfolioCenter, the next generation of the Centerpiece portfolio management system...
A CFP certificate and an aggressive strategy for recruiting new clients are among the traits that are helping financial advisors grow their businesses, according to a new study...
Wade Financial Group thinks it has just the thing for those middle-of-the-road investors who are looking for a little more upside in their portfolios...
Fidelity Investments has launched a new bond fund for those looking to invest in the broad bond market...
Affluent Asian Americans tend to lean heavily on their financial advisors, and are also more likely to seek out independent, fee-only advisors, according to a new study...
Fee-only advisors have another place to go if they're considering selling or buying a business...
The Financial Planning Association has filed a lawsuit against the Securities and Exchange Commission in an effort to strike down the proposed broker-dealer exemption to the Investment Advisers Act...
Fremont Investment Advisors-which has been operating all year under threat of federal regulatory charges-will sell all of its mutual fund assets to the owner of The Managers Funds under a recently...
Hedge funds would have to register with the Securities and Exchange Commission, as well as disclose information about their advisors and holdings, under rules proposed by the commission last week...
Ongoing regulatory investigations into mutual fund trading practices have once again led to disciplinary action against a big-name manager...
Where you stand often depends on where you sit...
Upper-income families are growing more worried about their money and, as a consequence, are growing less satisfied with their financial advisors...
The Financial Planning Association is turning up the heat on the Securities and Exchange Commission in hopes of getting action taken on the proposed broker-dealer exemption rule...
