Practice

With the pool of next-gen advisors so shallow, firms need to know where to look and what to say to attract new planners.

Firms need a strong recruitment process to remain competitive.

Billionaire real estate developer Donald J. Trump has surprised everyone with his showing so far at the political opinion polls. What Trump traits can the financial professional emulate and which ones are best avoided?

Advisors describe how both their clients and business benefit when retirement planning enters the decumulation stage.

The notion of working into one's 70s just doesn't cut it for many.

Banks and credit unions have traded barbs for years with much of the banks' discontent aimed at credit unions' tax exemption.

Getting kicked out of the industry doesn't mean an end to payments from the sale of a book of clients. Plus, knowing whether FINRA's suitability rule applies to foreign clients.

Focusing on market-beating performance is a flawed strategy, says new columnist Jonathan Clements. Instead, advisors should focus on clients’ entire financial lives.

The Board also sanctioned 19 other advisors, including one who allegedly lied about taking an exam on behalf of another advisor.

Investment managers facing tough questions from regulators over what caused trading disruptions for hundreds of exchange-traded funds this week said they got hit by a double whammy.