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As technology has become more advanced financial advisors have turned their attention to unified managed accounts to oversee all of their affluent clients’ assets, a trend that many in the industry think is here to stay.

A little more than a year after the worst of the financial crisis, many Americans are slipping back into their old saving and spending habits, according to a new study commissioned by the online investing firm Scottrade.

The Securities and Exchange Commission is concerned that some mutual funds and actively managed and leveraged ETFs, in particular, may be investing too heavily in swaps and derivatives.

New role has Utendahl working as liaison between dealmakers and client company CEOs

Four more banks failed Friday night totaling $1.2 billion in assets and costing the Federal Deposit Insurance Corp. an estimated $320 million.

So, banks have finally come around to looking at compensation through the lens of risk management. Not to be too cynical, but even this has its limitations.

Thanks to their robust disclosure policies, mutual fund companies are generally well-protected against investor lawsuits, but that won't stop lawyers from trying anyway.

The Securities and Exchange Commission is concerned that some mutual funds and actively managed and leveraged ETFs, in particular, may be investing too heavily in swaps and derivatives. If the staff determines that the investments are inconsistent with the leverage, concentration and diversification provisions of the Investment Company Act, it will cease granting exemptions going forward. Funds that already received exemptions would not be impacted, the SEC said.

A little more than a year after the worst of the financial crisis, many Americans are slipping back into their old saving and spending habits, according to a new study commissioned by the online investing firm Scottrade.

Institutional investors are warming to a market many now see as priced right, and an economy that they believe will be revived by corporate spending, even if unemployment fears keep consumers from opening their wallets.

Even though Senate Banking Committee Chairman Christopher Dodd introduced his financial regulatory reform bill earlier this month without a key provision on the fiduciary standard, some industry observers who support a more stringent standard are cautiously optimistic that tighter reforms will be implemented.

Local budget cuts over the next couple of years will be drastic enough that the role of government in our lives will be re-examined.

Your questions answered about LinkedFA, the new FINRA compliant social media site that allows financial advisors to promote their practices.

Even though Senate Banking Committee Chairman Christopher Dodd, introduced his financial regulatory reform bill earlier this month without a key provision on the fiduciary standard, some industry observers who support a more stringent standard are cautiously optimistic that tighter reforms will be implemented.

The SEC doesn’t yet require insurers to register indexed annuities, but wirehouse reps prefer it, ING CEO Ford said.

Because Apple hasn’t even launched the iPad tablet yet and most publishers and marketing firms still don’t have completed apps, which Apple must first approve, there are many unanswered questions about how it works for readers and advertisers alike.

WASHINGTON — A federal judge in Manhattan has refused to dismiss class action claims filed by local governments alleging that Wells Fargo & Co. and 15 other banks, broker-dealers and investment brokers conspired to rig bids and fix prices of guaranteed investment and derivatives contracts in the municipal market.

Ambac postponed the release of its 4Q and year-end earnings last week due to ongoing discussions with counterparties

Rietbrock joins from BofA Merrill

The Obama administration plans to announce Friday that it is revamping its foreclosure prevention plan to encourage lenders to offer principal write downs to troubled borrowers.