Practice

Charles Schwab has launched a new video series to help investors curtail impulse spending.

J.P. Morgan Asset Management has introduced a new tool for retirement plan advisors to facilitate 401(k) plan design conversations and enhance plan sponsor decisions.

The increasing popularity of electronic brokerage has led the MSRB to examine whether retail investors who trade municipal securities through broker-dealers' online systems have adequate protection under its rules.

On May 30, 2012, J.P. Morgan Asset Management has introduced a new tool for retirement plan advisors to facilitate 401(k) plan design conversations and enhance plan sponsor decisions.

Anticipated demand for personal trust services has prompted National Financial — the clearing and custody business of Fidelity Investments — to incorporate personal trust services into its broker workstation used by nearly 280 broker-dealer firms.

The Financial Services Institute issued a letter arguing an SRO modeled after FINRA is the best of all alternatives, and FINRA rebutted criticism of its cost estimates for an investment advisor regulator.

A new Amerprise study finds that far too many baby boomers are sacrificing their retirement goals and plans to help ease some of the short-term economic pain facing their children and their own parents.

A broker has consented to pay a $10,000 fine and take a suspension of 15 business days in response to allegations that he incorrectly marked trades and prevented his firm’s compliance department from accurately monitoring the transactions.

The new services will include organizational tools to help family members organize vital information, paper files, electronic records and digital passwords.

BNY Mellon hires two more pros in its Tampa office, which has seen double-digit growth since it opened in 2008.