Practice

When FINRA at the outset of 2010 issued its first set of guidelines on how to use social media (Notice 10-06), lots of questions ensued. Here's an interactive slideshow detailing what advisors, broker-dealers and financial services firms need to know to navigate FINRA's social media guidelines.

Tweets have now been turned into formatted streams of market data.

Leaders of the Financial Services Institute expressed cautious optimism about their efforts to dilute or derail an initiative under way at the Department of Labor to broaden the scope of the term "fiduciary," a top policy priority for the advocacy organization.

Living more frugally and paying off debt has paid off for one in five retirees -- but fewer are looking out to the future to estimate how long their assets will last in retirement.

Financial advisors are increasingly interested in hearing from asset managers’ marketing teams in a digital format, accessible via the Web, according to Kasina’s latest FA Vision report, created in conjunction with Horsesmouth.

Living more frugally and paying off debt has paid off for one in five retirees—but fewer are looking out to the future to estimate how long their assets will last in retirement.

Morgan Stanley Investment Management agreed to pay $3.3 million in a case involving billing for subadvisory services in Malaysia that the SEC said were not rendered.

Regulators implementing the Dodd-Frank Act are writing massive, complicated rules that corporations will maneuver to exploit and federal examiners will struggle to enforce

Not only do Americans expect to work longer to save enough for retirement, they expect to work way longer beyond that. New research by Wells Fargo shows that the anticipated retirement age has now stretched as much as 15 years past age 65.

Not only do Americans expect to work longer to save enough for retirement, they expect to work way longer. New research by Wells Fargo shows that the anticipated retirement age has now stretched as much as 15 years past age 65.