Practice

Great-West Retirement Services has appointed Carey Lindsey as regional sales director for Houston.

Progressive companies say benefits help retain employees, increase employee productivity, and help attract talent, according to survey results.

Researchers have developed a model that uses data from Twitter to help predict the volume and value of a stock in an upcoming trading session.

Great-West Retirement Services has appointed Carey Lindsey as regional sales director for Houston.

Third-party administrator CPI Qualified Plan Consultants, Inc. today revealed it added the Alta Trust Tactical Advantage collective investment trust funds to its retirement plan platform.

It might sound elementary but legal eagles from some of the country’s biggest law firms convened today at the ICI Mutual Fund conference in Phoenix, A.Z. to drive home the importance of disclosure when it comes to mutual fund registration.

Financial services firms, advisors and brokers can get themselves caught in their own tracks on social media, worrying excessively about SEC rules on disclosures, marketing and communication, but Rajib Chanda, a partner with the Boston-based Ropes & Gray regulatory law firm, says the guidance out there is actually “pretty flexible.”

Advisors may still feel a bit awkward as well as worried about compliance when they use social media, but they’re definitely using it to build their brands and businesses, according to a new SourceMedia study.

A former Morgan Keegan registered rep agreed to be barred permanently from the industry for putting 10 of his middle-class clients into “unsuitable” investments –- highly leveraged ETFs, regulators said.

Because of its increasing complexity and impacts on financial firms beyond banks, firms that run registered investment funds are suggesting that the Volcker Rule gets ‘re-proposed’ before it goes into effect in July.