Practice

Marketing expert Marie Swift says savvy financial advisors know that they must create an effective program that engages leads, builds rapport and converts prospects into lifelong clients. Here’s how one savvy financial planner is doing just that.

Executives from BlackRock, Vanguard, JPMorgan Chase, and Invesco met with SEC Chairman Mary Schapiro to talk about money market reforms.

Hartford Financial Services Group Inc. last September put the brakes on its effort to sell its mutual-fund unit to private equity shop Clayton Dubilier & Rice LLC after banks cut back on lending for leveraged buyouts.

The former SEC enforcement lawyer who later tried to defend convicted Ponzi scheme operator Allen Stanford has been blocked from practicing before the commission.

Edward Jones survey finds that only 37% of Americans were able to correctly identify 529 plans as a college savings tool.

This week, IRA expert Ed Slott answers readers’ questions about penalties on nonqualified distributions.

A House Financial Services Committee will begin hearing testimony for and against a controversial bill that would shift regulatory oversight of investment advisors from the SEC to a self-regulatory organization such as FINRA.

The Financial Industry Regulatory Authority reviewed enforcement case trends at its annual conference in Washington, D.C. this week. Here are 25 top cases from its files.

Majority of workers surveyed plan to put off retirement until after 65, and then find retirement work.

In cases where an advisor has created a financial plan for a client, Advisor Access now features a hyperlink to the Goal Planning & Management component powered by MoneyGuidePro.