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Outcomes making fund management a hard-knoc...

May 27, 2014No Comments

Investors want more. If there were a word cloud generated from the on-stage panels at the Investment Company Institute‘s annual meeting last week, the word

CFP Board scrutiny of comp definitions gets...

May 25, 2014No Comments

Ray Ferrara, chairman of the CFP Board Investment advisers support a move this week by the Certified Financial Planner Board of Standards Inc. to ensure

New variable annuity filings expose life in...

May 25, 2014No Comments

You know spring has sprung when life insurers post new variable annuity filings with the Securities and Exchange Commission. This year, some life insurers are

Finra holds off sending nontraded REIT rule...

May 25, 2014No Comments

Finra is delaying sending proposed new rules to the Securities and Exchange Commission that would give investors a clearer picture of what it costs to

Is Raymond James the fifth wirehouse?

May 25, 2014No Comments

Paul Reilly, chief executive of Raymond James Financial Is Raymond James the fifth wirehouse? It’s a comparison the firm’s executives have avoided, maintaining they are

Real ‘Wolf of Wall Street’ earn...

May 25, 2014No Comments

Getty Images Jordan Belfort, whose memoir “The Wolf of Wall Street” was turned into a film by Martin Scorsese, expects to earn more than he

Third-party exam costs unwelcome

May 25, 2014No Comments

Investment advisers are wary of the costs involved in a proposal by a Securities and Exchange Commission member that would require advisers to hire third-party

U.S. Is Not Japan Or Europe

May 20, 2014No Comments

There has been a trend of late to compare European and Japanese Bond yields to that of the United States and England so I think

RIAs should be forced to hire outside exami...

May 20, 2014No Comments

Bloomberg News Securities and Exchange Commission member Daniel Gallagher wants registered investment advisers to be forced to hire third-party contractors to conduct examinations. In a

Finra holds off sending nontraded REIT shar...

May 20, 2014No Comments

Finra is delaying sending proposed new rules to the Securities and Exchange Commission that would give investors a clearer picture of what it costs to