Practice

Wells Fargo’s Rich Lowrie helped craft the tax proposal that’s driving political debate.

The United Kingdom Competition Commission said it had provisionally found that the acquisition of the largest all-electronic trading facility in Europe by BATS Global Markets would not significantly block competition.

Exchange-traded funds have become the latest investment product to fall under the Securities and Exchange Commission's radar.

David Blaine is an illusionist, often referred to as a modern-day Houdini. So may be David Blaine Welliver, an investment advisor and operator of a mutual fund based in Buffalo, Minnesota, if the SEC is to be believed.

What is the difference between elite practices and other firms? One hint: Seminars are not what they used to be. Here’s an interactive slideshow detailing seven marketing tips that will boost your firm’s profile and assets under management.

American workers are becoming more and more pessimistic about their retirement prospects, according to a new survey by Sun Life Financial, but those who have invested in annuities or hold long-term care insurance are decidedly more confident.

BigFoot Investments has launched a cloud-based investment strategy software portfolio that streamlines trading, data delivery and client correspondence for RIAs and registered reps via their PCs, tablets and smartphones.

EDGAR Online said it will start delivering data on over-the-counter stocks that do not report their financial results to the SEC.

ConvergEx Group said it introduced an algorithm that lets portfolio managers take advantage of dark pools.

This week is National Save for Retirement Week, and a variety of financial planning groups are promoting that fact to attract clients.