News Feed

The TCW Group is readying an emerging markets fund to add to its short list of emerging markets funds.

Securities and Exchange Commission commissioners and panelists at a roundtable Tuesday wrestled with how to improve the transparency of municipal bond trading and prices, particularly for retail investors.

The Nationwide Fund (NWFAX) is firing two sub-advisors and hiring another one to take their place.

In the financial services industry the only thing that an advisor can guarantee to clients is that there will always be change. However, how individuals respond to change may vary. It is the way in which you choose to respond that makes a difference.

Aristotle Capital Management is adding to its client service and marketing team. Catalina Llinás joins the firm as a managing director on the team.

Hundreds of small regionals and community banks account for about half the bank channel advisors. The other half lives at one of the top 10 banks (with the top two accounting for the majority.) Here is a countdown of the 10 biggest players in the bank channel this year, based on the total number of bank advisors.

With a bullish outlook for careers in financial planning, TD Ameritrade Institutional has created a scholarship fund aimed at injecting fresh blood into the industry.

An enforcement action from the Securities & Exchange Commission is a timely reminder to advisors to disclose any financial benefits their firm may receive from the broker-dealer it recommends to clients.

The new AIG Advisor Group system will allow its advisors’ clients to select a trusted family member or friend to help them make smarter financial decisions, explains Larry Roth, president and CEO of AIG’s Advisor Group, one of the largest networks of independent broker-dealers in the country.

Community Capital Management is expanding it’s northeastern presence with a new hire and a new office.