Search results for: a

As if there wasn’t enough uncertainty swirling around the financial services industry at present, the Securities and Exchange Commission (SEC) wants to make changes to...

TD AMERITRADE Institutional said that, so far in 2010, 212 breakaway brokers have chosen the company for back office support.

The Securities and Exchange Commission (SEC) has proposed measures aimed at improving the regulation of mutual fund distribution fees and providing better disclosure for investors.

Cash balance plan provider Kravitz announced it has opened a New York office to develop its business in the Northeast and serve existing customers. 

As global equity markets stumbled during the second quarter, so did returns for target maturity funds, according to Ibbotson Associates. 

The majority of financial advisers (87%) expect income taxes to increase for most of their clients in the next 12 to 18 months, with one in four...

A new study from BNY Mellon's Pershing Advisor Solutions finds nearly half of RIAs work for a firm that has a written policy governing the use...

The latest Ariel Black Investor Survey found that African American investors were twice as likely to have cut their 401(k) contributions to survive the recession than were their...

Aon Corp. announced today that it will resume accepting various forms of compensation for its brokerage business where appropriate.

Investors who were skittish over the European sovereign debt crisis and whether the global economy would slide back into recession reversed course in May. 

AdvisorShares Investments, LLC will begin trading in the actively managed international exchange-traded fund the WCM/BNY Mellon Focused Growth ADR ETF (NYSE:AADR) on July 21.

With the ink not yet dry on its merger nuptials with Aon, Hewitt Associates has announced a new acquisition.

Certain provisions of the financial reform legislation approved by the U.S. Senate last week may affect financial advisers.  

Last week the Department of Labor released its “interim final regulation” under ERISA Section 408(b)(2) related to the disclosure of fees by service providers.

Winston & Strawn LLP announced that Caryn L. Jacobs has joined its litigation department in Chicago as a partner. 

A federal judge in Ohio ruled that a 401(k) profit-sharing plan and two participants can press forward with their lawsuit alleging that Principal Life Insurance Co. breached its...