Investment VIPs
What top-performing investment strategists and portfolio managers are thinking about the latest market trends and how to build high-performing portfolios.
The B/D Exemption Rule Is Gone, What's Next?
By Staff WriterNow that the Broker/Dealer Exemption Rule 202(a)(11)-1 which exempted brokers from regulation as an investment advisor even when they were being paid fees for investment...
July 01, 2007
Serving Corporate 401k AccountsResearch: Why have individual advisors (and the industry as a whole) been relatively slow to adapt to the post-2006 Pension Protection Act world?Davis: The PPA...
July 01, 2007
Birth of a ProfessionThe independent adviser profession--or "investment counseling," as it was originally called--owes its existence to a convergence of events and influences in the first quarter of...
June 20, 2007
Labor Weighs In On Fees For Plan Participant AdvisorsThe Employee Benefits Security Administration says different compensation rules apply to retirement plan members' investment advisors and the advisors' financial services affiliates.Robert Doyle, EBSA's director ...
June 17, 2007
ICI Tries To Keep Stable Value Products Off 401(k) Default MenuA mutual fund trade group is sparring with insurers over whether annuities and guaranteed investment contracts are suitable for use as default investments in 401(k) ...
June 17, 2007
ICI Tries To Keep Stable Value Products Off 401(k) Default MenuA mutual fund trade group is sparring with insurers over whether annuities and guaranteed investment contracts are suitable for use as default investments in 401(k) ...
June 10, 2007
ICI Tries To Keep Stable Value Products Off 401(k) Default MenuA mutual fund trade group is sparring with insurers over whether annuities and guaranteed investment contracts are suitable for use as default investments in 401(k) ...
June 10, 2007
10 Steps To Safe Selling Of VAsWant to sell more variable annuities, keep clients happy and avoid problems with regulators? It is easier than one might think.Following is a 10-point system ...