Registered Investment Advisers (RIA)
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Insurance policy raises questions in Convergent suicide
Former Convergent CEO David Zier took out a life insurance policy that later reimbursed investors in his outside fund, sources say.
Being smart about smart beta
Breakfast with Benjamin: Smart beta is here to stay, so you might as well try and figure out what the heck it is.
DOL head says fiduciary standard will happen
Secretary Perez has confidence his agency will complete work on the rule before Obama's term ends.
Schwab must face adviser's lawsuit after all: appellate court
Judges said the firm must face a class-action lawsuit on mortgage debt in bond funds.
Interest rate increases: A boon for senior savers and a disaster for variable-rate borrowers
Don't forget that a spike in rates will hurt ARM mortgages, HELOCs and variable-rate student loans.
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.