Volcker Urges Merging Regulators
Former Fed Chairman Paul Volcker is pushing for a change that would put at least one top regulator out of business.
Schorsch Accused of $900M Fee-Driven Scheme
Behind the accounting errors that knocked $4 billion off ARCP’s market value was a hidden scheme, investors said in a lawsuit.
Morgan Stanley Tops Q1 Estimates; Wealth Unit Boosts Profits
The firm's advisor headcount fell below 16,000 advisors, but production rose to nearly $960,000.
FINRA Launches Helpline for Seniors
"Older investors are only a phone call away from getting help with questions or concerns they may have regarding their investments," says FINRA's Axelrod.
How to Mimic Hedge Funds With ETFs
It's a complicated, but viable, process for advisors, says Adam Patti of IndexIQ.
Top Portfolio Products: SSGA Rolls Out Multi-Factor SPDR ETF
Plus, Exceed Investments adds fund that tracks Nasdaq’s structured-product index.
Raymond James Kicks Off National Indie Event
The Las Vegas-based conference is drawing nearly 1,900 independent reps and over 70 prospects.
Drop the Jargon: Clients Don’t Care
"When I hear the word 'underwriting,' I have a mental picture of people working in hell with typewriters," one consumer said in a LIMRA presentation.
IRS Has New Favorite People to Audit
If you’re scared of an audit by the IRS, there’s less to fear these days — except for one group of taxpayers.
Investors Say They Need 9.7% Returns to Meet Goals
Investors have gotten used to stellar returns, and many are not prepared for another market slump, Natixis says.