News

 The majority (76%) of married female clients make financial decisions with their spouse; whereas 39% of the men consult their wives, according to research from Brinker Capital.  

The Financial Industry Regulatory Authority (FINRA) has fined Nuveen Investments, LLC, $3 million for creating misleading marketing materials used in sales of auction rate preferred securities (ARPS).

State Street’s SPDR University suggests that investors would be well-served to start thinking about how exposure to real assets can help position their portfolio for rising inflation.

Saguenay Capital and Strathmore Capital announce their merger to form Saguenay Strathmore Capital, a global alternative investment manager.

Institutional investors are increasingly bullish on using exchange-traded funds (ETFs) in their portfolios, according to a new study.

Invesco PowerShares Capital Management LLC announced plans for a suite of nine Fundamental Pure Style ETFs based on the Research Affiliates Fundamental Index (RAFI) methodology.

Since the financial crisis, institutional asset holders are selecting fewer strategic partners and even fewer products, according to Strategic Insight, an Asset International company.

Investment Metrics’ (IM) analysis of approximately 6,200 institutional separate account composites and commingled fund products finds the U.S. Small Cap category topped the performance chart in Q1 2011.

David Reich has been appointed executive vice president of retirement platform development for LPL Financial.  

Although two-thirds (66%) of the Class of 2011 who are graduating with debt say the value of college is worth the cost, one-quarter say they would have made...

The headlines last week were all about how new legislation had been introduced to cut down on the “leakage” from 401(k) plans. 

A new white paper assets that emotional responses are keeping those in and near retirement from accessing professional investment help.  

Drinker Biddle says the IRS is getting ready to issue long-anticipated regulations governing Internal Revenue Code Section 457(f) plans.

The U.S. Department of Labor's Employee Benefits Security Administration (EBSA) is hosting a workshop on how to correct certain fiduciary violations under the Employee Retirement Income Security Act (ERISA).

Retirement Investment Strategies has launched FinancialPlanStrategies.com to help those near and in retirement.

Looking at all angles of a wealthy client’s finances is undoubtedly important; one group is proposing tackling all aspects of a client's life to achieve the best outcomes.    

Total 529 savings plan assets increased to an estimated $146 billion in the first quarter of 2011, reflecting a 5.8% increase from the previous quarter.

A federal appeals court has ruled that UMB Bank is not responsible for losses to retirement plan accounts from investments directed by participants’ investment adviser.

Invesco PowerShares Capital Management announced that the PowerShares Convertible Securities Portfolio is anticipated to begin trading May 26, 2011, on the NYSE Arca.

TD Ameritrade has started a professional development program that aims to give women in financial advisory roles the tools they need to effectively market their services to female...