Subject Root Tag

The Commodity Futures Trading Commission and the Securities and Exchange Commission both say they lack the resources to implement the responsibilities thrust upon them by the Dodd-Frank Wall Street Reform Act. Here are the numbers. You judge how they stack up.

Global assets under management in exchange traded funds and exchange traded products should grow 20% to 30% annually over the next three years, BlackRock projects.

Firms have been tracking the adjusted cost basis of the equities and mutual funds bought and sold by investors for years. The challenge now is how best to capture this data and accurately report it to the IRS and investors.

Assets held in exchange-traded funds crossed $1 trillion for the first time, at the end of January, according to statistics kept by the National Stock Exchange.

PHOENIX-- About 40 years ago, they were told to cut their hair and find a real job.

The Securities and Exchange Commission Wednesday said it would start the process of setting rules for how security-based swap execution facilities will operate and how registration of such facilities will work.

Just over one-third, 34%, of Americans have no retirement savings, and 27% have no personal savings, a November 2010 survey of 2,151 by The Harris Poll found.

It doesn’t take a rocket scientist to figure this out: Without a new tax on the securities industry, there won’t be reform of same.

Advisors need to consider a Net Unrealized Appreciation calculation, according to C. James Johnson, a presenter of retirement planning and tax strategies for Allianz Life Financial Services.

Fidelity Investments on Wednesday announced a new website, “Income Answers” (www.fidelity.com/incomeanswers), to help plan participants nearing or living in retirement manage their money responsibly so that they will have enough income to live on throughout their retirement.

There were 109 mergers and/or acquisitions last year involving registered investment advisors, according to data released Wedensdsay

The data is available through the Fidelity clearing unit’s online workstation.

The fund will concentrate on opportunities in consumer products and goods throughout the world.

Unlike some of their peers, Wells Fargo, U.S. Bancorp and PNC Financial Services Group don't have to devote a hearty portion of their investor presentations these days to discuss ...

If only the administration's task in fixing housing finance was as easy as choosing plan A or plan B. Instead, part of the Treasury Department's challenge is just sifting through all the ideas.

Now that the SEC has thrown down the gauntlet on reform of the securities industry, what can independent broker-dealers and advisors expect to happen next? A lot of studies. And more rules.

With Black Friday upon us, advisors will have a chance to add to their technology arsenal without having to blow a hole in their pockets. Here are 11 essential tech tools advisors should consider.

Independent broker-dealers and financial advisors could very well be thanking Bernie Madoff and legislators who passed the Dodd-Frank Wall Street Reform Act in the not-too-distant future. Innovation in financial markets, which advisers can capitalize on, will follow.

A new research report from Aite Group found that banks should look to provide better multi-channel offerings to compete with online brokerage firms for mass affluent clients.

During a session at the FSI Broker-Dealer conference, a panel of marketing experts and one self-effacingly "clueless" independent broker-dealer executive weighed in on the challenge of motivating advisors to grow their client base, manage compliance issues and install meaningful continuity and succession plans without neglecting their existing roster of clients.