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The Financial Industry Regulatory Authority's municipal market priority this year will be ensure that brokers adequately disclose risks associated with tax-exempt bonds backed by revenue from private and nonprofit entities, which have significantly higher default rates than general obligation bonds.
February 5 -
The firm has picked up a 26-year industry veteran to help grow its practice in Florida.
February 4 -
In 2010, pre-retirees had $6.1 trillion in investable retirement assets. Retirees had $5.9 trillion. By 2020, thats expected to swell to $10.2 trillion and $11.4 trillion, respectively, according to LIMRA.
February 4 -
Luke Palacio will join Citi Private Bank as managing director and regional market manager for the South East region on March 18. He will look to expand the firms presence throughout South Florida beyond Miami, Boca Raton and Palm Beach.
February 4 -
For Wells Fargo Advisors Financial Network, offering financial advisors more choice in terms of how they want to practice helped propel the business to a record year in recruiting in 2012.
February 4 -
The Naples office of The Private Client Reserve is expanding its services, adding new advisors and relocating to a larger office space in the upscale neighborhood of Mercato.
February 4 -
Not in Fairholme's in-crowd? Investors have one month before it's too little, too late.
February 4 -
Excelsior, MN-based LoCorr Fund Management is looking to add another alternative mutual fund to its lineup.
February 4 -
iShares is prepping an active exchange-traded bond fund to launch within the next two months.
February 4 -
American Century has hired an army veteran as its newest vice president.
February 4 -
BlackRock the worlds biggest money manager, is accused in a lawsuit by two pension funds of reaping grossly excessive compensation from securities- lending returns associated with iShares.
February 4 -
How can advisors be more productive and take more time off? According to Jimmy Williams of Regier, Carr & Monroe in McAlester, OK and Randy Thurman of Investment Advisors Inc., by focusing on a dozen simple steps, the big picture becomes simpler.
February 4
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Nearly half (47%) of adult children say their parents never made any financial mistakes. Meanwhile, their parents were quick to point out their childrens financial missteps.
February 4 -
The Securities and Exchange Commission last month promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director
February 4 -
Demographic shifts, technology implementation and investing challenges were in the spotlight this week in San Diego, where about 3,000 advisors and other industry professionals came together for TD Ameritrade Institutionals annual conference. Between the presentations, meetings and hallway conversations, Financial Planning heard lots of smart takeaways for advisors.
February 4
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UBS financial advisor Gregory Klenke, number 13 on the Top 40 Under 40 list, says that working with corporate executives stock compensation requires careful planning and managing emotions.
February 4 -
Looking for that next career opportunity has changed. Long gone are the days of paper resumes. Today, you need to be innovative in order to be seen.
February 4
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Domestic mutual funds and ETFs drew in $17.9 billion the week ended Jan. 30, wrapping up the first month of 2013 with total net inflows of $51.7 billion.
February 4 -
The Securities and Exchange Commission's municipal bond office has sent a so called "no-action" letter to NetRoadshow Inc., paving the way for the firm and its underwriter clients to present Internet-based "road shows" on municipal bond offerings to retail investors.
February 4 -
Tired of running his financial planning firm in Michigan, Jason Wenk made a radical change to his planning practice a couple of years ago. He sold a portion of it, moved his family and his company to Laguna Beach, Calif., and began to grow a practice entirely through blogging.
February 4
