RIA In A Box, a consulting business that helps set up registered investment advisory (RIA) firms, said it will begin offering mock audit services to RIA firms that...
McGraw-Hill's Financial Communications announced the release of Advisor Marketing Solutions, an online program designed to help financial advisers attract prospects and build client relationships.
An investment adviser for a public access television station in Enid, Oklahoma, explained that costs were behind the decision to ditch a 403(b) plan for employees in favor...
Thirty-eight percent of surveyed employers reported their employees cut the amount of their retirement savings in 2009, while 12% also saw an upswing in opt-outs from automatic enrollment...
Ameriprise Financial has introduced Active Diversified Alternatives Portfolios, a series of professionally managed portfolios designed for long-term investors seeking increased diversification and risk management.
QVC said it continues to investigate alleged irregularities regarding employee 401(k) hardship withdrawals at its Rocky Mount, North Carolina, distribution center.
Pershing LLC said it has begun providing its introducing broker/dealer and independent registered investment adviser (RIA) customers with access to a performance reporting solution from Black Diamond.
When it comes to qualified retirement plans, there are three kinds of people: people who are fiduciaries and know it, people who aren’t fiduciaries and know...
The 3rd U.S. Circuit Court of Appeals has ruled that a plan administrator did not abuse its discretion in denying a disability retirement benefit payment to an employee...
In a speech before the New York City Bar Association, marking the end of his first 100 days as director of the Securities and Exchange Commission Division of...
ShareBuilder 401k, provider of 401(k) plans for businesses with one to 250 employees, has introduced a 401(k) offering to be sold through registered investment advisers (RIAs).
Legg Mason Inc. reorganized five funds in its ClearBridge Advisors unit as money manager Alan Blake and Hersh Cohen, the division’s investment chief, are set to retire.
A federal judge considering a series of lawsuits against the failed Washington Mutual (WaMu) told lawyers that she will likely decide on initial motions to dismiss the cases...