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News

  • FPA Urges Members to Write SEC About Custody Rule

    July 2, 2009

    The Financial Planning Association is encouraging its members to write to the Securities and Exchange Commission protesting a proposed regulation that will require investment advisors to undergo surprise annual accounting audits by an outside accounting firm.

  • IMCA Raises Standards for CIMA Certification

    July 2, 2009

    The Investment Management Consultants Association (IMCA) implemented changes to its Certified Investment Management Analyst (CIMA) certification program yesterday, the organization said. Candidates who enroll in the program after July 1 will have to pass a new certification exam.

  • Financial Planning Coalition Asks Members to Lobby Congress

    July 2, 2009

    The Financial Planning Coalition is encouraging members to meet with their Congressional representatives, who are currently in their home districts for the holiday weekend, to push for uniform regulation of the financial planning profession.

  • Web Access with Human Advice Is a Winning Combo

    July 2, 2009

    Two-thirds of 401(k) plan participants visit their plan’s website at least once per month, according to Spectrem’s new Retirement Market Insights report.

  • Surprising Surge in Home Equity Loans

    July 2, 2009

    Data suggests that many banks binged on home equity loans last year and began tightening standards only in the second half — after housing prices had already staged a dramatic retreat.

  • Group Annuities May Be Inappropriate for 401(k)s

    July 2, 2009

    Group annuities are being criticized for subjecting investors to lockup periods of five years or longer and a variety of additional fees.

  • Feds Break up ID Theft and Tax Fraud Scheme

    July 2, 2009

    Eleven defendants have been charged in a massive scheme to file fraudulent tax returns using the stolen identities of Puerto Rican residents in an attempt to collect more than $18 million in tax refunds

  • House Committee Clears Bill on Hidden 401(k) Fees

    July 2, 2009

    The House Education and Labor Committee has approved a bill that would require 401(k) plan providers to provide clear, complete information about the fees they charge.

More News

Features

  • The July issue is now online

     

    • Introducing NetX360

    Is Pershing's new workstation the iPhone of financial technology? Will it have an App store? Work on your mobile phone? All of the above, if CIO Suresh Kumar has his way.

    Filling the Gaps

    Clients who own businesses may have been flush—but now they're looking for cash, and possibly a new exit plan. Here's how you can help.

    Lesson Plans

    By helping your clients transfer their own financial wisdom to their children, you can create a new generation of responsible investors.

    Soft Landing

    Launching an RIA is a daunting challenge, so for most advisors independence doesn't mean going it alone.

    Survival of the Fittest

    Can your firm adapt to a changing environment and innovate to stay one step ahead of the competition?