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March 19, 2010
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Investment Income Tax Would Help Pay For Health Care |
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Deeper spending cuts and new taxes are being proposed by Democrats to help foot the bill for health care.
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Read more...
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March 19, 2010
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FINRA Expels B-D; Takes Aim At Private Placement Sales |
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The Financial Industry Regulatory Authority on Thursday said it expelled
a broker-dealer for selling private placements linked to a Ponzi
scheme.
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Read more...
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March 18, 2010
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Active ETFs A Slow-Moving Stampede |
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A parade of big-name mutual fund companies have filed paperwork to launch actively managed ETFs, but it could take years before any of them attract significant interest from investors.
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March 18, 2010
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FINRA’s CEO Expects Eventual Move To Fiduciary Standard |
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The securities industry should begin to prepare
for a fiduciary standard even if lawmakers have put off any such move in the
short term, the CEO of FINRA
said this week.
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Read more...
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March 18, 2010
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FINRA’s Enforcement Chief Resigns |
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The Financial Industry Regulatory Authority’s head of enforcement, Susan
Merrill, is leaving her job, according to published reports.
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March 17, 2010
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Advisors Seek Simpler Annuities, Education |
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The retirement guarantees provided by annuities are more important to
investors than ever, advisors say, even as many advisors still avoid
using them in clients' portfolios.
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Read more...
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March 17, 2010
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More Advisors Weighing In On Health, Diet |
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More financial advisors are talking to clients about pounds as well as portfolios.
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March 17, 2010
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Many More Working Longer To Pay For Health Care |
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What you’ve probably noticed anecdotally with your financial planning clients is an
identifiable trend: Many more people are staying in the workforce longer.
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Read more...
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March 16, 2010
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Move To Independence Puts Focus On Supervision |
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Growth in the ranks of independent broker-dealers is a trend that could
strain one aspect of compliance in some offices: broker supervision.
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Read more...
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March 16, 2010
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Senate Reform Bill Pleases/Displeases Various Advisor Groups |
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The Senate’s financial services
reform bill included the deletion of a provision
that would have applied the fiduciary standard of care to the
broker-dealer world.
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Read more...
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March 15, 2010
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Fidelity Unveils New Client Service Program For Advisors |
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Fidelity Investments on Monday said it has rolled out a new
program aimed at improving customer service for its affiliated advisors.
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Read more...
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March 15, 2010
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Old Vets Get Fresh Start |
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At an age where many would step into a life of retirement, two seasoned veterans decided to have a go at starting an independent RIA.
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Read more...
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March 15, 2010
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Independents Gain Steam Over Wirehouses |
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New data shows more advisors are leaving the large traditional brokerages to go independent
rather than to go to other big shops.
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Read more...
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March 15, 2010
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Fund Investors Shun Stocks Despite Rally |
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Investors continue to be risk averse––shunning stocks in favor of
bonds––and paying the price.
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Read more...
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March 12, 2010
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J.P. Morgan Plans Actively Managed ETFs |
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J.P. Morgan Chase indicated it plans to offer actively managed exchange-traded funds,
following recent moves by competitors.
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Read more...
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CONFERENCES
Dorothy 
