Tag: Retirement Plan Industry

The House Financial Services Committee  introduced legislation that would authorize one or more self-regulatory organizations (SROs) for advisers.  

Wells Fargo Securities said it had agreed to acquire Merlin Securities LLC, a prime brokerage services and technology provider.  

National Financial Partners Corp. (NFP), a provider of benefits, insurance and wealth management services, said Friday it had begun implementing a management succession plan. 

The SPARK Institute and the Investment Company Institute (ICI) released a sample investment term glossary for retirement plan participants.

The Hartford signed an agreement with Forethought to sell The Hartford’s Individual Annuity new business capabilities. 

The Merrill Edge semi-annual survey of mass affluent investors, especially younger ones, shows belt-tightening amid heightened financial anxiety.  

Study finds high-net-worth investors confident in advisers, who are also "bullish" about market.  

A new white paper explores how exchange-traded funds (ETFs) are created, and takes an in-depth look at the potential risks and advantages.

Americans appear to be unprepared financially to live into their 70s, 80s and 90s, according to Northwestern Mutual’s Longevity & Preparedness Study.

The U.S. Department of Labor filed a lawsuit seeking to recover losses suffered by participants in the Parrot Cellular Employee Stock Ownership Plan (ESOP).

 Transamerica Retirement Services launched an asset allocation service designed to make saving for retirement easier for participants in company-sponsored retirement plans.

Between 2005 and 2009, the rate of poverty among American seniors rose as they aged.

Vestmark announced the introduction of comprehensive compliance solutions for fee-based accounts within its unified wealth management platform, VestmarkONE.  

Christine Gaze was named the new director of practice management for TD Ameritrade Institutional, a division of TD Ameritrade Inc.  

More than three-quarters of middle-income Americans (76%) between the ages of 50 and 69 say they are sticking with their jobs because they want to.

JPMorgan Chase did not breach its fiduciary duties to a pension plan by investing the plan's assets in Lehman Brothers notes through JPMC's securities lending program.

Older Americans aren’t that literate when it comes to finance, which could have a negative impact on their ability to plan successfully for retirement.

Lion Street and American Financial Systems, Inc. (AFS) formed an alliance.

Kerry W. Hemphill, principal of Creative Benefit Concepts, has affiliated with Signature Financial Partners LLC, a John Hancock Financial Network (JHFN) member.

 LPL Financial announced several changes in executive-level staff.