Practice

Section 165 has yet to happen but it should have the biggest impact.

Clients should update their wills after births, deaths, marriages and — especially — divorces.

A practice management expert offers insight into the land of the semi-captive and dually registered advisor.

A Financial Industry Regulatory Authority arbitration panel has ordered Wedbush Securities and one of its former brokers to pay $2.9 million in damages and fees to an elderly investor who allegedly fell victim to a faulty investment scheme.

The Securities and Exchange Commission is seeking public comment on the use of derivatives by mutual funds over the next 60 days after publication in the Federal Register. If it determines that new regulations to protect investors are necessary, the SEC will consider passing and enforcing them.

The trade group representing clearing agents and exchanges in the futures market says that the Commodity Futures Trading Commission has underestimated the costs of potentially requiring broker-dealers and clearing firms to record phone and electronic communications and store records.

A bad day for financial engineers in Chicago continued Wednesday, when the Securities and Exchange Commission said the assets of a quantitative trading firm were frozen.

linkedFA, a social networking site for financial advisors and professionals, has boosted its content offerings thanks to a deal with press release distributor Businesswire.

Financial advisors looking for new and more effective ways to interact with their Baby Boomer clients -- or find new ones -- should be inspired by a new Pew Research Center report that found social networking participation among this highly coveted group surged more than 60% in the past year.

CUNA Mutual Group this week launched a new online retirement guidance platform called RetireOnTarget to help more than 140,000 credit union employees manage their 401(k) accounts and make more informed retirement planning decisions.