retail investor

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  Bond Investors Must Prepare for Rate Spike: SEC’s Walter

  By Melanie Waddell, AdvisorOne  |  May 20, 2013

  At the FINRA conference, SEC Commissioner Elisse Walter also said it was time to get to the "nitty-gritty" of a fiduciary rule.

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  Investing for a Lifetime With Life-Cycle Investing

  By Jane Wollman Rusoff  |  April 29, 2013

  A decade ago, Paula H. Hogan had one of those incredible a-ha moments. It was profound, with deep implications for the advisor’s business—perhaps even for the entire financial services industry.

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  2013 SMA Managers of the Year Nominees: Fixed Income

  By John Sullivan, AdvisorOne  |  April 25, 2013

  The nominees in this category—from GW&K and Tom Johnson Investment Management—have found long-term, consistent success in intermediate and enhanced fixed-income strategies.

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  Pyxis Capital: ‘Shift From High Yield to Floating Rate’

  By John Sullivan, AdvisorOne  |  November 15, 2012

  High yield isn’t what it used to be.

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  Managed Futures, Managed Risk

  By Savita Iyer-Ahrestani, AdvisorOne  |  October 23, 2012

  There are plenty of reasons to not like risk these days: the condition of the global economy, for instance, and Europe’s sovereign saga.

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  Yes, Closed-End Fund Yields Are High, but There’s a Catch

  By Joyce Hanson, AdvisorOne  |  August 22, 2012

  "Not all yields are created equal," warns S&P Capital IQ’s Alec Young.

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  In FSI Testimony Before Congress on SRO, a Call for a Level Regulatory Field

  By Dale Brown, Financial Services Institute  |  June 6, 2012

  In voicing support for HR 4624, FSI believes an advisor SRO will close an unacceptable regulatory gap that leaves investors exposed to potential fraud and abuse at the hands of unscrupulous investment advisors.

• The ETF Witch Hunt

  By Ron DeLegge, ETFguide.com  |  November 23, 2011

  What are the reasons and causes behind the “Flash Crash” on May 6, 2010? Does anybody know? What about the stock market’s latest tendency to convulse? People still want answers because nothing they’ve heard up until now is satisfying. As a result, some of them have resorted to good old-fashioned...

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  SEC’s Rominger: Agency Studying Mutual Fund Shareholder Reports, Financial Literacy

  By Melanie Waddell, AdvisorOne  |  November 3, 2011

  The SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says