Updated Friday, April 18, 2014 as of 12:32 PM ET

What Will Millennials Be Like When They Are Old?

Zara Kessler
April 15, 2014

"Millennial" and "young person" will not always be synonymous. So it makes sense to try to distinguish, as much as possible, which characteristics of millennials are generational, owing to the peculiarities of time and place, and which are simply evidence of youth.

Don't Let the Brokers Keep Watch on Themselves: Commentary

William D. Cohan
March 13, 2014

FINRA's treatment of a former manager in its southeast regional office shows the self-policing group for brokerages should be "put out of its misery once and for all," writes a former investment banker, author and columnist.

Succession Planning: Are You Being Negligent?

Yvonne Kanner
February 20, 2014

Without viable succession plans, wealth managers are at risk of slowly drifting off into oblivion -- willing partners in their own firms' demise. It's negligent behavior, and anything but benign.

Top 2014 Regulatory Priorities for B-Ds

Nick Hartofilis and Bao Nguyen
February 10, 2014

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

How to Create an In-Branch Mobile Experience

John Berry
February 10, 2014

New technology from Apple and others can help banks create appointments, share offers, crowdsource customer service and identify their best customers, all in real time.

SEC MMF Reform Could Send Depositors Back to Banks

Neil Stanley
February 10, 2014

Money market funds possess trillions of dollars of short-term institutional investor funds. Now the SEC's proposed rule change for the industry may give banks an opportunity to attract institutional depositors with cash management offerings, says one bank consultant.

Top Investing Lessons From 2013

Steve Atkinson
February 5, 2014

Who would have expected that after four years of up markets, the S&P would return more than 32% last year? Here are some lessons learned from 2013, according to one advisor coach.

Going Postal May Not Be So Crazy for Banking

Adam Levitin
February 2, 2014

A Georgetown law professor weighs in on a proposal to allow the U.S. Post Office to offer basic banking services. And the industry won't like what he has to say.

MyRAs Are a Nice Idea But Barely Dent the Bigger Problem, Bloomberg Editors Argue

Bloomberg Editors
January 31, 2014

Obama's proposal might do some good -- not by helping workers, most of whom are unlikely to take advantage of it, but by spurring a discussion about how to fix a broken retirement system, write Bloomberg editors.

Social Security: Even Congress Shaky on Understanding

Paul Norr
January 29, 2014

When congressmen introduce bills that work at cross-purposes with the intent of Social Security, it's no wonder clients are confused too.

Estate Plan Revise? 5 Key Questions

Tracy Craig
January 27, 2014

An estate plan reflects the present state of clients' lives, with an overlay of applicable laws. Here's how to tell when a plan needs an update.

Bank Regulators Have a Poor Handle on Interest Rate Risk

Clifford Rossi
January 27, 2014

Critical deficiencies in data gathering and reporting and measuring key risks persist across regulatory agencies, according to a professor at the Smith School of Business at the University of Maryland.

Creating Your Personal Brand

Kim Sharan
January 13, 2014

If you asked your clients to describe you and your practice in two sentences, would you like what they have to say? Would they even be able to describe you or your practice in two sentences?

Bank Marketing to Women: International Hits & Misfires

Kathleen Burns Kingsbury
December 13, 2013

Financial institutions need to tread lightly; it's very easy to miss the mark when offering loans and related services to women.

Charitable Giving: 5 Smart Tips for Clients

Tracy Craig
December 12, 2013

Here's how to help clients maximize both the charitable and tax benefits of any donation.


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