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PALM DESERT, Calif. -- Registered investment companies vote in favor of management proposals more than 90 percent of the time, according to a study of 3.9 million proxy ballot items.

Investors are looking to invest internationally in 2011 and beyond, a sign that positive sentiment in emerging markets is growing, according to a survey released on Tuesday by Franklin Templeton.The survey of 13,076 respondents in 12 countries found that 62% of U.S. and global respondents plan to invest in international markets, including Brazil, Chile, Mexico, and India, over the next 10 years. Yet just 34% of respondents are currently investing outside of their own markets. At the same time only 33% believe their own country's market will perform better than the rest of the world in 2011, said Franklin Templeton, which shows a willingness to consider opportunities globally.

A FINRA arbitration panel has awarded former Merrill Lynch Co-President Ahmass L. Fakahany $1.2 million out of the more than $70 million in compensatory damages he sought from his former employer.

David Lee Roth once said, “Money can't buy you happiness, but it can buy you a yacht big enough to pull up right alongside it.” Over the past year a number of studies have been released that may prove the former Van Halen front man just might - up to a point - be right.

The basic roles and responsibilities of brokers, financial advisors and asset managers are in the early stages of what's sure to be a dramatic transition and the brokers and firms that are most adapt at adding new tools and technology will be the ones to prosper, according to a new report from Boston-based financial services consulting firm Financial Research Corp.

For the estimated million-plus folks who turned 70 1/2 years old last year, time is running out to take their first required minimum distribution from their various 401(k) and IRA accounts without incurring stiff tax liabilities.

Ahmass L. Fakahany was awarded $1.2 million by a FINRA arbitration panel after he brought a claim seeking more than $70 million from his former employer.

Zachary Gronich, founder and chief executive of RIA in a Box, has seen his consulting company quickly grow bigger than he expected.

Rauchle previously was founder and president of Wells Fargo Alternative Asset Management.

PALM DESERT, Calif. -- Baillie Gifford is an independent investment management firm based in Edinburgh, Scotland. At the end of 2010, it managed more than $113 billion in bond and stock portfolios.

SEC and CFTC rulemaking will define “the workload for the coming year,’’ said Karrie McMillan, general counsel of the Investment Company Institute as its mutual funds conference opened Monday in California. But where that work will end up cannot yet be determined.

The selling of investments to individual investors and their purchases of them are mired in dysfunction, according to the former director of conduct risk and sector leader for asset management of the Financial Services Authority in the United Kingdom.

As banks overhaul compensation to appease regulators and shareholders, some large lenders are tying their pay incentives to criteria under which the companies already excel.

When two tiny banks merge to form a slightly less tiny bank, which institution really reaps the efficiencies: the merged entity — or a larger acquirer down the road?

The financial turbulence of the last several years has left many professional athletes subject to losses from real estate, unprofitable business ventures and fraud schemes. From Hall of Famers to Super Bowl champions, here’s a look at ten current and former professional athletes and how they were personally affected by the financial turmoil of the past five years.

PALM DESERT, Calif. -- The selling of investments to individual investors and their purchases of them are mired in dysfunction, according to the former director of conduct risk and sector leader for asset management of the Financial Services Authority in the United Kingdom.

Here is a rundown of five potential pitfalls in cost-basis reporting which Wolters Kluwer Financial Services says brokerage firms, mutual fund companies, transfer agents and even corporations should watch out for as the tax season for securities reporting peaks.

Eileen Rominger, in her first appearance as the SEC's director of investment management division before a gathering of members of the mutual fund industry’s largest trade group, said that compliance with existing and forthcoming rules as well as robust regulation of these is essential to achieving and maintaining the trust and confidence of investors.

The establishment of a fiduciary standard that applies to how broker-dealers should care for their customers is not likely to come until after the one-year anniversary date of passage of the 2010 Dodd-Frank Wall Street Reform Act that required it.

PALM DESERT, Calif. -- The establishment of a fiduciary standard that applies to how broker-dealers should care for their customers is not likely to come until after the one-year anniversary date of passage of the 2010 Dodd-Frank Wall Street Reform Act that required it.