Search results for: a

Vanguard has filed a registration statement with the Securities and Exchange Commission (SEC) for seven new bond index funds and exchange-traded funds (ETFs).

Financial Engines has hired Omar Aguilar as head of its Portfolio Management group, reporting to Chief Investment Officer Christopher Jones.

While many homeowners are spending less or paying down debt, others are experiencing inertia about making changes.

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...

A judge has put the brakes on Bank of America’s $33-million settlement with the Securities and Exchange Commission (SEC).

MassMutual has introduced an enhanced financial reporting platform and distribution process for its defined benefit and investment-only clients.

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...

Great-West Retirement Services has appointed Kevin White as regional sales director for Tennessee.

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.

Exchange-traded fund (ETF) assets rose $47.4 billion, or 8%, in July, according to State Street Global Advisors (SSgA).

MetLife has enhanced its Web-based Benefits Benchmarking Tool for employers and brokers to compare benefits to companies with a similar profile.

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.