Practice

The Investment Company Institute on Monday sent a letter signed by 32 leaders of the fund industry, to the co-chairs of the Super Committee, or the Joint Select Committee on Deficit Reduction.

Marketing expert Marie Swift says the end of the year is a perfect time to review everything in an advisor’s marketing toolkit. This week, she talks about the importance and value of the power bio and the core issues article.

Eight in 10 advisers who sell annuities report that they are having more client discussions about retirement income planning than they did five years ago. And those discussions are becoming more emotional, according to a new report, “The Evolution of the Annuity Industry," released by the Insured Retirement Institute (IRI) and Cogent Research.

For more than a year, Republicans have been hammering Democrats for what they say are the hefty economic costs of new financial regulations.

The SEC's newly enacted Rule 13h-1 requires “large traders” to register to be assigned an identification number that will allow tracking of its transactions.

The SEC has ordered broker-dealer FTN Financial Securities to pay nearly $2 million for allowing a registered investment advisor, Sentinel Management, to defraud its clients through a reverse repurchase transaction.

Russell Investments has launched an iPad-friendly version of its Helping Advisors website.

Financial professionals, 86% of whom have at least one social media account, risk running afoul of compliance rules as regulatory bodies sort out the rules for advisors’ use of these new channels. That was the message from social medial expert Alexandra Basak Russell, at the Women Advisors Forum in Huntington Beach, Calif.

A recent survey of 1,000 mass affluent investors uncovered a statistic that startled researchers: 75% of men said they wanted their spouse or partner to take more a more responsible role with their joint money.

A lot more mass affluent investors know what a CFP is than was the case just a few months ago. That’s what an early study of the CFP Board’s 4-year, $40 million advertising and brand awareness campaign shows, the board reported in a media briefing this week.