Registered Investment Advisers (RIA)
Watch breaking news videos and read news updates about Registered Investment Advisers (RIA) on investmentnews.com
Bill would end mandatory arbitration in brokerage contracts
Legislation introduced Thursday would ban such requirements for investor claims.
Morgan Stanley settles mortgage bond probe for $2.6 billion
Breakfast with Benjamin: Plus: Buffet's opaque empire, Obama's regulatory plans and New York's efforts to keep its meat hooks in tax refugees.
Republican introduces bill to halt Obama's DOL fiduciary push
Rep. Ann Wagner says proponents are 'offering a solution in search of a problem.'
Is OPEC about to flinch and cut oil production?
Breakfast with Benjamin: OPEC might be rethinking their strategy of flooding the market with oil to crush the fracking industry.
SEC sued for using its own judges
Investment firm seeks to block action as Dodd-Frank ripple effect seen giving SEC the edge.
SEC's White sidesteps direction for fiduciary duty
SEC chairwoman says she will push the agency this year to make a decision on whether to raise investment advice standards for brokers but once again declined to provide a timeline.
United Capital pivots with $2 billion hire
Firm now focused on hiring advisers from larger companies, even wirehouses, as it shifts away from acquisitions.
The bottom for oil prices isn't even in sight yet
Breakfast with Benjamin: Supply and demand math could mean $10 oil. Plus: Eric Holder takes a parting shot at Wall Street, SEC filings show how hedge funds did and didn't navigate the markets, and it's hard to bet against sin stocks.
Some RIAs cautious of using alts, despite industry buzz
A typically conservative group, some advisers are holding back even as demand picks up.
House GOP tells SEC to improve adviser oversight
House Republicans who oversee the SEC told the agency to do a better job of regulating investment advisers — and to do it without a significant budget increase.
Fidelity records massive profit, despite fund outflows
Boston mutual fund and brokerage giant increased its earnings by 29% last year despite surging investor redemptions of its mutual funds.
A new entry point for gold investors takes on GLD
Just as gold is regaining its luster with investors, Bank of Montreal's new gold deposit receipt program offers a new way to tap into the market for the precious metal. The Bank of Montreal's gold deposit receipt program, GOLDRs, which is aimed at U.S. investors, is SEC-registered and DTC-eligible,
Focus loses another exec
Former managing director Mark Hovanic has left the aggregator to be president of an RIA with $169 million in AUM.
Sallie Krawcheck: Don't underestimate robo-advisers
Sallie Krawcheck says online advice industry is filling a gap in the marketplace.
TA Associates acquires Orion Advisor Services in NorthStar deal
Boston-based private equity firm TA Associates announced on Monday that it is acquiring majority interest in NorthStar Financial Services and its nine subsidiary providers.