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Investment Advisor
April 2008 |
Changes New York Life Insurance Company named Ted Mathas as CEO-elect... Prudential Retirement appointed James Cornell as senior VP and chief marketing officer... Vanguard's Board has elected William McNabb as its new president... etc.   |
Investment Advisor
July 2007 |
Changes Shawn Dreffein, president of National Planning Corporation has retired... American Century Investments appointed Barry Fink... etc. |
Financial Planning
December 1, 2006 |
On the Job Executive Appointments: AXA Distributors in New York has named Kirby John Noel as the company's national sales manager... Bill Carey has left his post as president of the Fidelity Registered Investment Advisor Group... etc. |
Financial Planning
March 1, 2011
Donna Mitchell |
On The Move New promotions and hires in the financial services industry. |
Insurance & Technology
April 5, 2010
Anthony O'Donnell |
MassMutual CIO Casale Made EVP The Springfield, Massachusetts-based carrier cites Casale's leadership in the implementation a streamlined, efficient organizational structure. |
Investment Advisor
April 2007 |
Changes-April 2007 New York Life Insurance Company announced that Christopher Blunt was appointed senior VP and COO... Jonathan Spector, vice dean of The Wharton School at the University of Pennsylvania, was named president and CEO of The Conference Board... etc. |
Financial Planning
June 1, 2011
Donna Mitchell |
On the Move Fidelity Investments has appointed Trevor Norton... Focus Financial Partners of New York has hired Mark Dupont... Kelli Hill has joined Sentinel Investments... |
Investment Advisor
June 2010
Melanie Waddell |
Retirement News Comments from the SEC, a survey from Putnam, and a new insurance option from AXA Equitable. |
Insurance & Technology
February 17, 2009
Anthony O'Donnell |
Vincent Cohan Named AXA Tech SVP, CTO One of three new senior vice president appointments by AXA, Vincent Cohan will be responsible for defining and implementing AXA Tech's information systems. |
Financial Planning
August 1, 2007
Marshall Eckblad |
On The Job AXA Advisors has promoted Andrew McMahon to chairman... Boston-based Fidelity Investments has hired Jylanne Dunne... etc. |
Investment Advisor
May 2009
Melanie Waddell |
Danger & Opportunity: The SEC Reformation An exclusive interview with SEC chief Mary Schapiro regarding financial services reforms. |
Investment Advisor
July 1, 2011
John Sullivan |
Catching up with... Bob Reynolds In June 2008, Bob Reynolds, the former Fidelity Investments vice chairman and COO, joined Putnam Investments. His impact was nearly immediate. |
Investment Advisor
September 2006 |
Changes Mary Schapiro was scheduled to become chairman and CEO of the NASD... President Bush has nominated former SEC Commissioner Cynthia Glassman as Under Secretary for Economic Affairs... etc. |
Investment Advisor
February 2009
Melanie Waddell |
Is Mary What the SEC Needs? The alternative to FINRA overseeing advisors, and what advisors would definitely prefer, is a self-regulatory organization. |
Financial Planning
July 1, 2006
Marshall Eckblad |
On the Job Here's a rundown of the latest executive appointments: Allianz Life Insurance has named Douglas Reynolds as the company's president... James Dennis has joined AXA Equitable... etc. |
Financial Advisor
January 2004
Jay Gould |
Washed Up On The Banks Of Denial The SEC has changed its policies regarding anti-fraud consent injunctions. How should investment advisors react? |
Investment Advisor
November 2006 |
Now and Then When it comes to plowing through the complexities that are associated with retirement planning, advisors need all the help they can get. Fidelity looks ahead to dominate retirement planning now. |
Investment Advisor
March 2008 |
News & Products, March 2008 News: Employee Benefit Research Institute study finds that ERISA is working... Center for Due Diligence launches a new website... AXA Equitable Life Insurance launches a new distribution channel... Jackson National Life Insurance Company promotes John Koehler... |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
Investment Advisor
June 1, 2011
Thomas D. Giachetti |
From Deadlines to Lifelines The SEC extension of registration deadlines provides a potential grace period for stressed out advisors. |
Registered Rep.
March 10, 2011
Kristen French |
SEC Says Bigger Budget Is Supported By BCG Report In testimony before Congress Thursday, SEC Chairman Mary Schapiro made a case for an increase in the agency's funding to $1.407 billion for 2012. |
Investment Advisor
November 17, 2010
Thomas D. Giachetti |
Will You Stay SEC Registered in 2011? Regulatory changes could cause confusion for advisors |
Insurance & Technology
January 7, 2010
Nathan Conz |
AXA Equitable Appoints Four Execs AXA Equitable Life Insurance Company has announced four new executive appointments to support its customer-centric product design, delivery and service strategy. |
Investment Advisor
January 2010
Melanie Waddell |
Retirement News News from the SEC, MetLife, and Fidelity: SEC will present recommendations on target date funds early next year... MetLife and Fidelity Investments have introduced a new deferred variable annuity product... more... |
Insurance & Technology
July 11, 2008
Anthony O'Donnell |
Connie O'Brien Helps AXA Equitable "Walk the Talk" in Internet Strategy Connie O'Brien aims to make AXA Group the "preferred company" for customers, distributors and employees. |
Financial Planning
February 1, 2005
Jennifer A. Liptow |
On the Job Who's going where, when: Stuart Rogers has been named senior vice president of corporate... John Kennedy has joined New York-based AXA Distributors as senior vice president... etc. |
Financial Planning
May 1, 2005
Jennifer A. Liptow |
On the Job Allstate Distributors in Northbrook, Ill., has appointed DeeAnne Asplin to... Lane Jones has been promoted to chief operating officer of Evensky & Katz... RiskMetrics Group in New York has appointed Arthur Levitt... etc. |
Investment Advisor
August 2010
Melanie Waddell |
Will the States Be Able to Regulate Big RIAs? State regulators and the Securities and Exchange Commission (SEC) will meet soon to iron out the details of shifting nearly 4,000 advisors from federal to state supervision. |
Investment Advisor
June 1, 2011
Melanie Waddell |
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. |
Registered Rep.
December 1, 2002
Jeff Schlegel |
The Lords of Value With assets of $42 billion, Lord Abbett has long been a key player in mutual fund and institutional circles. Recently, though, it's been zooming up the charts in the managed accounts space. |
Investment Advisor
April 2010
Robert F. Keane |
Catching Up With... A short conversation with Fidelity Client Experience Executive VP Maggie Serravalli. |
Investment Advisor
January 2006
Melanie Waddell |
The Playing Field: SEC Inspectors Unit Under Fire After repeated complaints from broker/dealers, mutual funds, and investment advisors about the SEC's new sweeps examination process, Congress is threatening to abolish the SEC's Office of Inspections and Examinations (OCIE). |
Investment Advisor
September 2006 |
Upgrades SEC Commissioner Christopher Cox said August 7 that the SEC will not appeal the D.C. Circuit Court of Appeals' decision in Goldstein v. SEC... According to Barclays Global Investors, exchange traded fund flows surged in June... etc. |
Registered Rep.
December 2, 2004
John Churchill |
SEC Overburdening Itself? The SEC narrowly succeeded in passing a final rule requiring hedge fund advisors to register under the Investment Adviser Act of 1940. But is the agency biting off more than it can chew? |
Investment Advisor
May 2010
David Tittsworth |
What a Reinvigorated SEC Will Mean for You The first in a series of occasional commentaries by the executive director of the Investment Adviser Association. |
Financial Advisor
May 2005
Lavine & Liberman |
Uncertain Future The Fidelity Executive Forum raises issues about where the money management industry is headed. |
Registered Rep.
June 1, 2005
Kristen French |
Fido Attacks! Long a distant second to Charles Schwab in the lucrative business of serving financial advisors, Fidelity is making an aggressive push to close that gap. And some advisors are taking notice. |
Investment Advisor
October 2007
Kara P. Stapleton |
News & Products, October 2007 FINRA fines AXA Advisors for "failing to adequately supervise its fee-based brokerage business"... AIG announces organizational changes... Commonwealth Financial Network provides advisors with Estate Planning Blueprint... etc. |
Financial Advisor
June 2007 |
Frontline News SEC Won't Appeal Court Decision... Fidelity Offering For RIAs... 12(b)-1 Fees, Advisors' Growing Role, Are Focus At ICI Fund Conference... etc. |
Investment Advisor
December 2007 |
News & Products, December 2007 FINRA fined Oppenheimer Co., Inc. $1 million... Compliance officers at broker/dealer firms will have a chance to discuss new and changing regulations... Christine Nigro has been promoted to president of AXA Advisors, LLC... etc. |
Investment Advisor
September 2008
Melanie Waddell |
SEC, DOL to Share Data The SEC and Department of Labor agree to share information on retirement and investments in an effort to protect the $5.8 trillion in retirement assets of American workers. |
Registered Rep.
March 1, 2005
Will Leitch |
Don't Fear the Reaper Investors are happy to think about retiring but are reluctant to contemplate what comes next. |
On Wall Street
August 1, 2009
Mark Astarita |
Changes at the SEC: Schapiro Should Be Benefit to Advisors One can expect that as head of the SEC Mary Schapiro will understand the impact of new rule proposals and enforcement initiatives and will temper the calls for more extreme changes that would ultimately harm the markets and the financial industry. |
Investment Advisor
August 2010
Melanie Waddell |
Advice to the SEC When it comes to the fiduciary standard, Capital Analysts President and CEO Matt Lynch says advisors "want to be sure the SEC seeks and gathers input from the industry as to how to implement these important changes." |
Financial Advisor
October 2012 |
Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground. |
Investment Advisor
February 2007
Thomas D. Giachetti |
When Should You Register? Should an investment advisor with $30 million of "assets under management" register with the SEC? It depends on whether the advisor has "qualifying" assets under management. |
Investment Advisor
April 1, 2011
Melanie Waddell |
GOP's End Game in Nixing SEC Funds: Stopping Dodd-Frank Republicans' rehashing of supposed failures at the SEC is 'counter-productive,' says former Chairman Harvey Pitt |
Investment Advisor
April 1, 2011
Thomas D. Giachetti |
Dodd-Frank: An Overview Of Pending Changes For Investment Advisors Dodd-Frank deadlines are fast approaching. Are you ready? |
Investment Advisor
October 2006 |
News & Products Offering a much-needed solution to traditional variable annuities that levy high fees... Lord, Abbett & Co. recently introduced The Streamlined 401(k) plan... etc. |
Registered Rep.
January 27, 2010
David A. Geracioti |
The SEC "Reforms" Money Market Funds but Votes to Allow Funds to Suspend Redemptions So now the SEC can decide when your client may take his or her money out of an investment? |
