Practice

Jon Dauphiné, a former AARP executive, was named the foundation's executive director. He replaces Jim Peniston, who is retiring after 13 years of service.

Critics say the new congressional efforts do not adequately address conflicts in the retirement sector, which they say must be eliminated or mitigated, not merely disclosed.

If the SEC's newest rules are enacted, open-end mutual funds and ETFs that invest in municipal securities are likely to become more risk-averse in a variety of ways that have implications for issuers and other investors that perhaps have not been fully considered by executives.

The high-ranking recruit will work on the firm's expansion plans and serve as a liaison between branch managers and top brass.

The Big Apple has the most wealth, but eight other cities grew faster. Which ones?

Waiting until age 70 to claim benefits may not be the best option for all clients; Plus, 3 ways clients are unwittingly sabotaging their retirements.

Advisors should focus on those areas where they can gain the most efficiency by using technology.

Add retail customers to the list of groups raising concerns about possible high-pressure product-sales tactics at Wells Fargo; many of them are considering jumping ship in response, according to a new survey of customer attitudes at big banks. However, Wells' rivals shouldn't celebrate — they are at risk of losing customers, too, for a variety of reasons.

RCS Non-Executive Chairman Mark Auerbach says the decision to shut down its wholesale distribution business is "extremely difficult but necessary."

The publishing window for Form U5 disclosures will now be three days instead of 15; Changes take effect on Dec. 12.