Practice

The Securities and Exchange Commission last month promoted George Canellos, currently Deputy Director of the Division of Enforcement, as Acting Director

Demographic shifts, technology implementation and investing challenges were in the spotlight this week in San Diego, where about 3,000 advisors and other industry professionals came together for TD Ameritrade Institutional’s annual conference. Between the presentations, meetings and hallway conversations, Financial Planning heard lots of smart takeaways for advisors.

Looking for that next career opportunity has changed. Long gone are the days of paper resumes. Today, you need to be innovative in order to be seen.

The Securities and Exchange Commission's municipal bond office has sent a so called "no-action" letter to NetRoadshow Inc., paving the way for the firm and its underwriter clients to present Internet-based "road shows" on municipal bond offerings to retail investors.

Tired of running his financial planning firm in Michigan, Jason Wenk made a radical change to his planning practice a couple of years ago. He sold a portion of it, moved his family and his company to Laguna Beach, Calif., and began to grow a practice entirely through blogging.

Social networking has become so common and broad-based in its use that banks have no choice but to incorporate social networking into their marketing efforts. Here are five ways they can do that.

Thomas Foss read Ron Carson’s rebuttal to his position on generating referrals with great enthusiasm, but was disappointed by the response.

A story on the best way to duplicate your top clients stirred some debate. The Prosperous Advisor, Ron Carson, says the key to referrals is asking for them.

The regulator will collect about $800,000 in fines for stock and options trading and trade reporting violations at over a dozen brokerages, according to the regulator's January disciplinary actions report.

When it comes to designing system and workflow automation for your firm, keep it simple, a panel of experts said at the TD Ameritrade Institutional national conference in San Diego.