News

The Securities and Exchange Commission (SEC) on Monday charged Boston-based Evergreen Investment Management Company with securities law violations for overstating the value of a mutual fund that invested...

The Securities and Exchange Commission (SEC) appears to have a lot on its agenda.

Broker/dealer BCG Securities, Inc. (BCGS), announced the appointment of Mark Barron as director of Operations.

Troy Redstone joined Lockton Companies in Kansas City as a producer specializing in employer-sponsored retirement plans and investment advisory consultation.

The Securities and Exchange Commission (SEC) announced the formation of an Investor Advisory Committee to give investors “a greater voice in the Commission's work.″

The Securities and Exchange Commission (SEC) said it finalized settlements with Bank of America, RBC Capital Markets, and Deutsche Bank over charges that the firms misled investors regarding...

Invesco announced that Thomas J. Hughes has joined its Institutional Sales and Client Service team as managing director.

African Americans in Washington, DC, are twice as optimistic as the general U.S. population that their financial situation will improve over the next year, but most say they...

Most participants are pretty confident about their investment diversification—but a new survey suggests that confidence may be misplaced.

We hadn’t gotten very far into the agenda of our Plan Designs conference last week when a plan sponsor asked the question that, IMHO, is on a lot...

We hadn’t gotten very far into the agenda of our Plan Designs conference last week when a plan sponsor asked the question that, IMHO, is on a lot...

A recent survey found a significant perception gap between employers and Millennial (born between 1978 and 2000) sales-force employees.

Mutual fund company Putnam Investments plans to offer hedge fund portfolios in the next six to 12 months, its chief executive officer said on Friday, according to Reuters.

Stephen L. Deschenes has been named senior vice president and general manager of the Annuities Division for the U.S. operating unit of Sun Life Financial, the company announced...

What are the regulatory issues to watch right now?

Pershing introduced NetX360, an open-architecture technology platform that provides Pershing's customers with a single, integrated platform to manage brokerage and advisory businesses.

Bank of New York Mellon subsidiary Pershing added more than 30 solution providers to its ValueAlliance program.

M Financial Group announced that Woodbury, Minnesota-based Legacy Wealth LLC joined as an M Member Firm.

Kelley Drye&Warren LLP, an international law firm, and Rocaton Investment Advisors LLC, an independent investment advisory firm, have announced a new offering for 401(k) plan fiduciaries.

Great-West Retirement Services today introduced the Maxim Lifetime Asset Allocation Series.