ancillary services

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  Top 10 Wealth Management Trends for 2013

  By Joyce Hanson, AdvisorOne  |  January 25, 2013

  Every year brings its own challenges, but 2013 is likely to be an exceptionally dynamic year for wealth managers, the Aite Group predicts.

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  SEC Backs Off Issuing Private Offering Rule

  By Melanie Waddell, AdvisorOne  |  August 20, 2012

  After repeated complaints, SEC Chairwoman Mary Schapiro instead will put the rule out Wednesday for public comment.

• Vanguard Launches 401(k) Plan for Small Businesses

  By Marlene Y. Satter, AdvisorOne  |  October 11, 2011

  Vanguard launched a small business 401(k) plan service in September that provides a low-cost plan, including index funds and target-date funds, in a bundled retirement plan package. The service is provided directly to sponsors of 401(k) and profit-sharing plans with assets up to $20 million, as well as to advisors...

• FINRA Fines 5 Broker-Dealers

  By Marlene Y. Satter, AdvisorOne  |  September 7, 2011

  Five broker-dealers were fined by FINRA for understating the amount of total commissions they charged to customers in trade confirmations and on fee schedules.