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A "cautionary" note on the third day of hearings after DoL officials quiz industry attorney in the slippery task of trying to ascertain details of common commission sales.
August 13 -
"When you put this in the context of rule changes that have occurred since the financial crisis, this would rank at the top," notes James Allen, CEO of Hilliard Lyons.
August 13 -
"You're getting them through one of the worst things in their life, whether they wanted the divorce or not," says advisor Charles Day.
August 13 -
In the first action of its kind, the Securities and Exchange Commission has ordered St. Louis-based brokerage Edward Jones to pay $20 million for overcharging retail customers in new municipal bond sales.
August 13 -
A limited domestic market and a weak native currency have spurred a number of Canadian mutual fund providers to look to the U.S. retail market for growth opportunities.
August 13
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Most mutual fund managers spread their money across many securities to curb risk, while a handful eschew traditional diversification and load up on a few holdings, convinced the rewards outweigh the dangers.
August 13 -
Before firing up the grill or heading to the beach, check out the top recommendations from advisors and industry execs. These titles offer guidance for your career and practice -- all while on vacation (or if you're sneaking in some work while on vacation).
August 12
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As summer winds down, wealth managers, industry execs and others share their favorite titles authored by advisors. These 10 books cover a range of topics from succession planning and practice management, to investment advice and tips on smart retirement planning.
August 12 -
As summer winds down, wealth managers, industry execs and others share their favorite titles authored by advisors. These 10 books cover a range of topics from succession planning and practice management, to investment advice and tips on smart retirement planning.
August 12
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Nearly a dozen Democratic state senators express their concerns over the Obama administration's proposed changes to the fiduciary standard; plus the crazy way Social Security punishes spouses who claim early benefits.
August 12
