Practice

For most of the past year, the status of a uniform fiduciary standard for brokers and investment advisors might be summarized as, “Don’t hold your breath: the SEC has higher priorities.” But an important event last week may serve as an impetus to move this long-simmering issue forward.

Bank of America, the second- biggest U.S. lender, agreed to pay government-backed Freddie Mac $404 million to resolve mortgage-repurchase claims.

Can broker-dealers legally force reps to purchase E&O insurance?

Advisors are using integrated contact management systems to reach out to clients in innovative ways.

Looking to move? Here's how you can get everything you think you're worth.

Teams need strong leaders to succeed. Are you one?

Advisors don't often discuss philanthropy with clients. Here's why that's a money-losing mistake.

Identifying problem transactions immediately can help keep you off the witness stand.

Planners may soon have one more investment option to counsel clients about.

The regulator may make it harder for some brokers to clear their name.