Practice

On April 6, the comment period on FINRA’s proposed changes to its BrokerCheck system will close, though there is still much debate and controversy about some of the proposed changes. Compliance consultant and securities attorney Jennifer Woods Burke shares her thoughts on the subject with Financial Planning.

Marketing expert Marie Swift says keeping your client pipeline full is both an art and a science. Here are some three things advisors should be doing now to prevent a dry spell.

Mutual funds may soon report not just to the Securities and Exchange Commission but the Commodity Futures Trading Commission as well, in some circumstances.

Investment analytics provider BrightScope unveils its second annual rankings list of New York City area companies that have 401(k) plans with more than $100 million in assets.

Investment analytics provider BrightScope today released its second annual rankings list of New York City area companies that have 401(k) plans with more than $100 million in assets.

One giant leap for entrenching investor and consumer fraud in our financial system after a federal appeals court rules that a federal judge overstepped his authority in rejecting a settlement between Citigroup and the SEC.

Women describe themselves as more conservative investors who favor socially and environmentally responsible investments

Rex Staples’ securities enforcement experience and his background in securities law will be “a great asset” to the CFP Board, said Kevin Keller, the board’s CEO.

The "mass affluent" service of Bank of America has launched "co-browsing" and speech analytics projects to improve the interactive experiences of clients of its 750 financial advisors in call centers and 600 in banking centers.

California-based investment advisor James Michael Murray allegedly defrauded investors using a bogus report from a fictitious auditing firm to embellish the performance of a hedge fund, according to the SEC.