IRA Rollovers Face Scrutiny by ERISA Panel
The volume of retirement assets rolling out of defined contribution plans has gotten the DOL's ERISA Advisory Committee’s attention.
Rep. Waters Calls for Hearing on Advisor Exams
The top Democrat on the House Financial Services Committee wants a hearing on ways to boost advisor exams, including her user fees bill.
SEC Enforcement: Missouri Firm Slapped for Fiduciary Duty Breach
Also, the SEC charged five traders with short selling and a school district with misleading bond investors.
Garrett Brings NY Fed Into FSOC Issues
Rep. Scott Garrett is demanding that the New York Fed share with him any information it provides to the FSOC on nonbank SIFI designations.
What Pro Sports Drafts Teach About Investing
Sports are not merely recreational but educational, according to Research Affiliates analysts, who derive some insights from the experience of baseball and soccer franchise owners.
Wells Fargo Grabs 8 Advisors With $1 Billion in Assets
Meanwhile, RIAs affiliated with Focus Financial and LPL add reps.
A Different Take on the Invasion of the Robo-Advisors
Beyond the hype, what are the investment approaches held by the biggest online advice providers, and which human advisors stand to lose?
Top 20 States for Private Equity Investment
An analysis by a private equity group ranks states by investment value and number of investments.
Are 401(k) Revenue-Sharing Deals on Their Way Out?
About 13% of plans had no form of revenue sharing whatsoever last year, a figure that most expect will only grow.
Rengan Rajaratnam Cleared of Insider-Trading Conspiracy
Rengan Rajaratnam, the brother of Galleon Group co-founder Raj Rajaratnam, has been found not guilty.