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New information FINRA is exploring adding to the BrokerCheck system could include the reason for and comments related to a brokers termination as well as scores on industry qualification exams.
February 23 -
Fidelity Investments reported strong sales growth last year of defined contribution plans to small and midsized employers in 2011.
February 23 -
The capital markets industry will increase its spending 8.5 percent a year on technology that combats financial crimes, through 2015.
February 23 -
About 60% of those with SIMPLE-IRAs were not aware that employer tax filing is not required.
February 22 -
With our economy in the shape its in, and saving for retirement more difficult than ever, it was critical that this troubling provision be stripped from the bill, according to a statement from FSI President and CEO Dale Brown.
February 22 -
Wells Fargo is using Twitter to spread the word about saving for retirement. The banking giant has been promoting America Saves Week by using its Twitter account, @Ask_WellsFargo.
February 22 -
A Financial Industry Regulatory Authority arbitration panel ordered Memphis-based Morgan Keegan & Co. to pay a Birmingham investor $1.95 million for misrepresenting that the Jefferson County, Ala., sewer bonds he purchased were safe, liquid and tax-free investments.
February 22 -
As the Baby Boom generation heads for retirement, the traditional notion that turning 65 automatically triggers retirement is changing.
February 22 -
A sports agent, whose company represents star clients including Denver quarterback Tim Tebow, won $400,000 in a ruling against brokerage Morgan Keegan & Co., due to personal losses from bad bond investments.
February 21 -
Almost three-quarters (71%) of target-date fund investors say that target-date funds have made them feel more confident they were making good investment decisions, according to a study.
February 21 -
Deutsche Boerse Group said it will be gradually expanding its global network this year.
February 21 -
Going forward, investment advisors will no longer be able to include the value of an investor's home in a new $1 million minimum of investable assets now required to charge performance fees, according to the SEC, which is tightening its rule around fees.
February 16 -
DST Systems has designed a new program, Retirement Income Clearing Calculator, which will widely distribute retirement income products to sponsors and participants of defined contribution plans.
February 16 -
The combination of Baby Boomers heading into retirement and the arrival of Echo Boomers into savings programs is about to put financial advisors on the ride of their professional lives, according to the fourth-largest distributor of mutual funds in the United States.
February 16 -
Genworth Financial Wealth Management is the latest firm to announce an upgrade to its online platform, eWealthManager.
February 15 -
T. Rowe Price has launched a new web-based retirement-planning tool that it says will help investors envision their lives in retirement.
February 15 -
To help busy advisors increase the frequency with which they contact clients, Cetera recently launched a new online marketing solution, Connect2Client. Its designed to enable advisors to send out emails, paper postcards, newsletters with in-depth articles and a variety of messages, including birthday greetings, on a regular basis.
February 15 -
NYSE Technologies, the commercial technology unit of NYSE Euronext, has launched a post-trade monitoring tool for compliance officers.
February 14 -
In 2010, The Dreyfus Corporation gave iPads to every one of its 70 salespeople, to save on Federal Express billings in shipping them marketing materials. Now the manager of roughly $300 billion in mutual fund assets has decided that it should not be presenting its nine boards of directors with bulky binders any more, either.
February 14 -
If you think social media is all about you (i.e., the points your company wants to get across), think again.
February 14
