Search results for: SCO

Married men and women participating in a recent survey agreed that the top two reasons for turning to a financial adviser are to prepare for retirement (58% of...

The Securities and Exchange Commission’s (SEC) rule exempting certain broker-dealers who offer investment planning advice from strict disclosure requirements was overturned Friday.

The New York Court of Appeals ruled that the notices employers must provide to the National Association of Securities Dealers (NASD) when they terminate an employee cannot be...

The Advisory Group of San Francisco has launched a suite of services to help employers optimize their 401(k) plan and costs to determine whether fiduciaries and their participants...

Rejecting Merrill Lynch’s requests to throw out the award, a federal judge upheld a $14 million award to three former Merrill Lynch brokers fired over allegations of improper...

California-based National Retirement Partners Inc (NRP) has signed RolloverSystems to help with its asset-retention and rollover strategy.

A brokerage firm that gave investment advice to a profit sharing plan for a fee is considered a fiduciary under the Employee Retirement Income Security Act (ERISA), according...

Informa Investment Solutions, Inc. (IIS) is set to expand its wealth management services with the acquisition of Investment Scorecard, a company that provides fully outsourced, integrated client reporting...

More than two-thirds of major mutual fund companies have negative customer loyalty scores, according to a recent study by Cogent Research.

If you access your retirement accounts online while on the road, be careful.

Charles Schwab has added a fifth target date fund – the 2050 fund – to its line up of Schwab Managed Retirement Trust Funds.

In its most recent filing with the Securities and Exchange Commission, Morningstar Associates, LLC said that the SEC has ended an investigation into the firm’s practices, while the...

For now we see through a glass, darkly.

Independent advisers claim that new clients who previously worked with brokers lack proper planning documents.

Odds are—no pun intended—you’ve been handed (or e-mailed) an NCAA Division 1 basketball grid this week.

XShares Advisors LLC has added nine HealthShares exchange-traded funds (ETFs) to its lineup, bringing the number of these publicly traded funds to 14.

If your email has been as plagued with stock “tips″ as much as mine, you’ll be happy to know that the SEC is on the case.

A provider search is often one of the most time consuming parts of a client relationship.

Congressional hearings focus on whether fees paid by 401(k) participants are fair and properly disclosed.

Financial advisers looking to offer small business owners a defined benefit plan have a new resource.