Practice

Investors yanked $28.54 billion from long-term mutual funds were $28.54 billion for the week ended Wednesday, June 26, according to the Investment Company Institute.

Independence is more than just a transition; it’s a transformation, an opportunity to own what you’ve created and a legacy you can pass on. Shirl Penney of Dynasty Financial offers his roadmap to RIAs and breakaway brokers.

A NAPFA membership rule change has provoked criticism for the way the decision was reached and communicated.

As regulators step up social media oversight, it will help advisors to spot the common danger zones that can trip them up as they engage on social media. Here’s what you should watch out for, and how to stay compliant.

By now, the Securities and Exchange Commission's newly-minted Chair Mary Jo White must be inundated with advice on how to succeed at her job from sources near and far.

Most financial professionals are not as referable as they think they are or as they need to be to garner a lot of great referrals.

Just days after luring another Morgan Stanley advisor, Stifel announced the hiring of longtime Morgan Stanley veteran Richard Linnihan.

2012 marked a strong year for FINRA. In addition to rebounding from four years in negative territory to post $10.5 million in profit for the year, the independent securities regulator also enhanced their regulatory programs. It also saw executive compensations (for the most part) increase. Check out whose compensation soared, and whose did not.

Growth is a goal -- and a hurdle -- for many firms. So what are advisors doing to attract new business?

The number of disciplinary actions rose as the regulator invested in new platforms and technology to broaden oversight.