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Commonwealth Financial Network has released a fee-based 401(k) platform, giving advisers access to about 12,000 funds, including no-transaction fee funds, load-waived funds, institutional funds and exchange-traded funds.

First Trust Advisors is slated to introduce this month an exchange-traded fund (ETF) that tracks the NASDAQ Clean Edge US Liquid Series Index.

The St. Louis-based law firm of Schlichter Bogard&Denton has filed another 401(k) fee lawsuit.

Securities fraud class actions decreased by 38% in 2006, falling from 178 filings in 2005 to just 110 in 2006 - the lowest ever recorded in a calendar...

Benefits Advisory Group (BAG) has been purchased by Sitzmann Morris&Lavis (SML), an independent based insurance advisory firm in Oakland, California.

Jefferies&Company, Inc has announced the introduction of 20 proprietary equity indices to track the performance of small- and mid-cap companies, both domestic and global.

On the last day of 2006, two more financial services firms announced settlements with regulators about their insurance business practices.

Merrill Lynch has launched a new 2007 Focus on Growth bonus program for its 15, 700 financial advisers, through which its advisers will be eligible to receive payouts...

The total combined assets of the nation's exchange-traded funds (ETFs) climbed 3.5% to $396.73 billion in November, according to an Investment Company Institute (ICI) news release.

The New York Stock Exchange and the Nasdaq will be shut down January 2 for a national day of mourning for the death of former President Gerald Ford,...

Marsh&McLennan has agreed to sell its money-management unit for $3.9 billion to holding company Power Corp. of Canada, sources told the Wall Street Journal.

The US Attorney for the Western District of Tennessee has announced James Michael Foley, former Vice President of Sales for UnumProvident Corporation, pled guilty on Friday to fraud...

Evergreen Investments, a unit of Wachovia Corporation, agreed to pay a $4.2 million civil penalty to settle National Association of Securities Dealers (NASD) allegations that it adopted improper...

Ten private equity firms have teamed up to educate policymakers in Washington, DC about their business.

Federal regulators have turned to the public for comment on how to formulate guidance on “phased retirement″ in-service plan distributions as provided for by the Pension Protection Act...

Rising market values continued to lift mutual fund assets last month, but new cash inflows were down from October’s pace.

Nearly one-third of Americans say not having enough to pay for health care is the biggest concern facing our nation in retirement.

Consolidation in the retirement services industry continued Friday with the announcement that the Charles Schwab Corporation will buy The 401(k) Company from Nationwide Financial Services.

The Department of Labor’s (DoL) September proposal governing qualified default investment alternatives (QDIAs) evoked applause from the retirement industry, but that approval was soon followed by a flood...

You may think things are crazy this time of year in your office – and they may well seem that way. Advisers are human, after all, and advisory...