Subject Root Tag

The past few years have provided a stark illustration of the ability of markets to surprise. It may be that inflation is the next big economic challenge to make an unwelcome return. The limitations of the most popular inflation fighting vehicles are becoming too pronounced, and the risks from inflation are too real, for the status quo to continue to reign in portfolio construction.

In the wake of the economic downturn that pummeled markets and investor accounts, one would think financial advisors would have learned that forging and maintaining extensive contact with their clients is critical to keep and finding new business.

Despite the warnings from financial planners, relatives and the media, nearly two-thirds of Baby Boomers surveyed said social security will be either an "extremely" or "very" important source of income when they retire.

Twenty-seven percent say they are “not at all confident” they’ll have enough money, according to EBRI.

“I’ve been guessing we’re in the foothills of a long 20-year rise with cyclical interruptions,” said Dan Fuss, who runs the Loomis Sayles Bond Fund.

A New York judge has dismissed a class action lawsuit against State Street as the sponsor of a mutual fund, saying that even though the mutual fund misrepresented its risks, investors were not harmed. That's because the fund correctly calculated its net asset value.

Lawmakers on Tuesday moved forward with two legislative efforts to overhaul the U.S. tax code, which would either halt, or threaten, tax-exemption for new muni bonds.

Independent financial advisors are criticizing the Municipal Securities Rulemaking Board’s draft changes to its rule on gifts and gratuities, warning they don’t go far enough to eliminate conflicts of interest.

While saying JPMorgan Chase had capital to comply with new Basel III requirements, CEO Jamie Dimon said regulators had gone too far in crafting the international capital accord.

The House Financial Services capital markets subcommittee was expected to pass as early as late Tuesday eight bills intended to jump-start reform of the government-sponsored enterprises despite efforts by Democrats to oppose the measures.

A Financial Industry Regulatory Authority hearing panel expelled a California broker-dealer from the securities industry, for failing to implement and enforce an anti-money laundering program.

Wells Fargo Securities will pay $11 million in penalties for misrepresenting - and overcharging for - two complex debt products tied to housing industry performance.

Along with cool-headed holistic advice, of course, investment management is probably the most important component of a financial planning and advisory practice.

A New York judge has dismissed a class action lawsuit against State Street as the sponsor of a mutual fund, saying that even though the mutual fund misrepresented its risks, investors were not harmed. That's because the fund correctly calculated its net asset value.

In the past, the Protocol was used to ease the ability of the big firms to recruit. Now, however, the Protocol is also being used by advisors to break away on their own, and some Wall Street firms are taking steps to prevent that and weaken the Protocol in the process.

Financial advisers have known for some time that Americans have lost confidence in their ability to afford a comfortable retirement, but for confidence to plunge just as economic indicators were perking up?

Company officials said the enhanced platform will help its advisors build better relationships with clients and grow their books of business by using a business valuation tool developed by FP Transitions and business assessment and coaching services from practice management consultant Business Health.

Only 13% of investors surveyed said they were very confident they would have accumulated money enough by retirement to live comfortably.

The company has appointed a new complex director in Dayton, Ohio, and added four new financial advisors in Beverly Hills and San Francisco.