-
On October 22, 2010 the U.S. Department of Labor proposed to broadly amend the definition of fiduciary under ERISA as a person who provides investment advice to plans for a fee or other compensation. The rule has generated a lot of controversy, and the DOL has delayed the redraft of it until at least January 2015.
June 25 -
Lawmakers asked to back proposal to assist troops, vets with severe money woes with enhanced financial planning services.
June 25 -
A Stifel advisor team that managed almost $200 million in assets has left the firm to join Raymond James & Associates.
June 25 -
The value of small-cap value funds; Managing the "new retirement;" Clients want to be more "hands-on" with their 401(k) plans.
June 25 -
Hundreds of mutual fund and ETF providers gathered at Morningstar's Investment Conference last week to pursue their equivalent of high-speed dating: meeting face-to-face with the 1,400 planners and advisors in attendance.
June 25 -
When bills supporting deregulation gain support while high-profile members of Congress speak out in favor of stricter enforcement, our guest columnist says banks find themselves wondering if they love me or they love me not.
June 25
-
Cold calling prospects is a great strategy if you approach it the right waycalling lists are relatively easy to obtain and few other advisors are doing it.
June 25 -
A former Credit Suisse managing director for investment banking who had pleaded guilty to lying about the value of mortgage-backed bonds in 2007, avoided time in prison after cooperating with prosecutors.
June 25 -
"Smart beta" ETFs are attracting funds from both active managers and passive indexes.
June 24 -
An advisor team managing more than $170 million in client assets has left UBS to join Stifel, Nicolaus.
June 24
