Practice

Hackers backed by China's military appear to have resumed a campaign of cyberattacks on U.S. businesses. The targets, which in previous attacks included financial firms, are thought to remain the same.

Advisors have not done enough to prepare the majority of wealthy investors for long-term care costs and financial support for extended family, according to a study conducted by U.S. Trust, a unit of Bank of America.

FINRA has increasingly put more firms on notice that they should expect their branch office doorbells to ring more often. In the past two years, FINRA has changed its approach when conducting examinations, favoring branch office inspections in lieu of the home office visits that it used to emphasize, said Susan Axelrod, executive vice president of regulatory operations at FINRA, at the self-regulatory organization’s annual conference on Monday.

A great wealth transfer may indeed be looming, but advisory firm executives are still focusing their creative energy on their boomer (and older) clients.

SEC Commissioner Elisse Walter endorsed a uniform fiduciary standard for all investment pros … then invited her audience to fight industry fraud and abuse by becoming whistleblowers

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer.

BMO Global Asset Management continues to expand its Retirement Services teams while keeping an eye out for more potential hires.

In a new report released on Monday, TD Ameritrade reveals some common myths and realities of becoming an RIA in today’s business environment.

Only about 2,100 SEC-registered investment advisors switched their registration to state oversight, according to the North American Securities Administrators Association -- roughly half the number that the SEC estimated would switch as a result of the Dodd-Frank Act.

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer. Gregg is known for advocating bipartisan approaches to balancing the national budget.