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As adviser client relationships move from one that revolves around picking investments to one more focused on personal counseling and education, it’s important to maintain trust.

Ann Arbor-based independent broker/dealer Sigma Financial Corporation says May was the firm’s second straight record month in terms of revenues.

Although employees retired and took a full defined contribution plan distribution, they did not necessarily give up their rights to file a fiduciary breach suit, according to a...

'I have never said that indexing is the best strategy an investor could ever possibly follow, but I can say that the number of strategies that are worse...

The world’s emerging and developed markets continue to post positive returns in May 2007, Standard&Poor’s said Thursday.

Washington-based ShareBuilder is trying to raise awareness about 401(k) participant fees, specifically calling for fees to stay below the 1% mark and for total fee transparency.

The Principal Financial Group has unveiled a new online distribution service for employee stock ownership plans (ESOP).

U.S.-listed ETF assets rose by approximately $20 Billion in May with International, Style, Size, Specialty and Broad Market ETFs experiencing considerable asset growth.

More than two-thirds of plan sponsors say they want the Securities and Exchange Commission (SEC) to draw clearer lines for disclosure requirements for commissions paid to brokers for...

High-net worth investors, at least those who rely on the services of a Registered Investment Advisor (RIA), are eschewing index funds for a more active approach.

It’s an issue that has plagued humankind ever since men and women began living together - with indoor plumbing.

For failing to properly supervise brokers delivering misleading information to plan participants during retirement seminars, Citigroup Global Markets, Inc. will settle with the NASD for more than $15...

The second of seven ineffective habits of retirement plan advisers

Participants’ mood about their financial future has fallen off significantly during 2007 but sponsors can encourage participants to meet with advisers and construct or reconstruct a retirement savings...

Within three years, socially responsible investment (SRI) options in defined contribution retirement plans by 2010 will have 60% market penetration.

Former managing directors at Putnam Investments Justin Scott and Omid Kamshad have agreed to each pay $400,000 to settle charges with the Securities and Exchange Commission (SEC) over...

A new organization, called the Council of Independent 401(k) Recordkeepers (CIKR), has formed to educate and advocate on issues of relevance to independent 401(k) plan recordkeepers.

Plan sponsors of prototype Roth IRAs interested in taking rollovers from 402A Roth Accounts first have to change their IRA documents to be allowed to do so.

Prudential Financial, Inc. has come out with a group of variable universal life insurance contracts for informally funding nonqualified benefit plans, including Supplemental Employee Retirement Plans (SERPS) and...

The Retirement Services division of InterOcean Wealth Management has formally introduced a new fiduciary protection service for retirement plan sponsors called The Fiduciary Compass.