Practice

Raymond James Executive Chairman Thomas James said he is optimistic that the financial services industry can work more closely with regulators, even as evolving regulations such as a uniform fiduciary standard and the Volcker Rule have started off with the wrong approach.

Advisors all desire employees who know what you want even before you speak. While these type of people are typically a needle in a haystack, there are ways to optimize the staff you have already.

Wall Street may still be in love with complex financial instruments, but more and more investors are choosing a simpler, more prudent way to invest, and Steve Atkinson explain that that is why the assets under management with independent wealth advisors continues to grow.

Though advisors are increasingly on social platforms, bringing financial goal setting to the social media sphere probably won’t change the way clients interact with their advisors. Will it instead help those who aren’t working with advisors start thinking about their finances?

Raymond James executive Chet Helck called for a year of working to restore public trust and confidence in the financial services industry, economy and nation at the Securities Industry and Financial Markets Association annual conference on Tuesday.

In addition to serving the local community, such clinics offer new graduates real-world experience.

Instead of expected retirement at the age of 65, the number has gone up to 75, according to My New Financial Advisor's survey.

The federal regulator late Monday adopted a rule that establishes standards for how clearing agencies should manage risks and run their operations.

SIFMA chief executive Tim Ryan said at the trade group’s annual meeting that the commodity futures regulator’s plan to oversee swaps made by foreign firms with U.S. participants breaks from international standards.

Millions of Americans are facing their own personal fiscal cliff, with half of middle class investors saying their most important day-to-day financial concern is paying the bills, never mind saving for retirement, according to a survey from Wells Fargo. What can advisors do to help?