News

Now that the storm has subsided, independent advisers are putting more focus on their business, such as marketing and technology, according to a survey by TD AMERITRADE Institutional.

UBS Wealth Management Americas is reportedly reorganizing the existing three divisions of its U.S. retail brokerage into two divisions.

Nuveen Investments announced its online 2010 Roth IRA Conversion Center is now available to advisers and investors.

State Street Corporation has agreed to pay $333 million as part of a series of settlements with state and federal regulators over allegations it misled investors about the...

Arete Consulting, the owner of structured products information provider StructuredRetailProducts.com, said it now offers a specialist structured products site for registered investment advisers (RIAs).

It was a big day for Bank of America (BofA), as the bank settled one lawsuit and was handed a new one.

Top custodians said they attracted more advisers to independence in 2009.

If implemented, financial advisers said a fiduciary standard would put an increased focus on financial planning and fee-based advisory services, according to an industry report.

TD Bank Financial Group is phasing out its financial advisory business, but keeping its high-net-worth division, according to reports.

New York accounting firm Eisner LLP has issued a warning that the Internal Revenue Service (IRS) will begin sending questionnaires to 401(k) sponsors to gather information about their...

Stadion Money Management, Inc., announced that Larry Uyeno has joined the firm as regional sales representative for the west coast.

TIAA-CREF has introduced its new Signature-Ready Form 5500 Preparation Service, in collaboration with Deloitte.

Tammy Mattson has joined Aon Consulting as executive vice president and director of the Northeast Region, the company announced.

Brokers/advisers are the most trusted sources to provide accurate information about investments, investing, or the markets, according to the 2010 Edelman Financial Services U.S. Trust Barometer.

Generally speaking, there’s no such thing as a sure thing – certainly when it comes to investing, and certainly not two years running.

Rates of return for defined benefit (DB) pension plans outpaced those for defined contribution (DC) plans, including 401(k) plans, in 2007 and 2008, according to a new analysis...

A research report indicates that banks are capturing an increased share of retirement plan rollover assets from affluent investors.

A new survey of asset management firms finds that 52% don’t use social media, despite a recognition by 84% that social media will have a lasting impact on...

The Hartford Financial Services Group, Inc. is expanding its product offerings to include 403(b) retirement programs for nonprofit organizations serviced by third-party administrators (TPAs).

Delaware Investments, a member of Macquarie Group, has hired Jeff Klepacki to run its third-party broker/dealer (B/D) distribution activities.