Practice

The federal regulator indicates it plans to allow the Public Company Accounting Oversight Board to take on new powers for inspecting the audits of broker-dealers.

The Financial Services Roundtable offers a common-sense guide to help American’s make the most of their long-term investment decisions and retirement planning.

Retirement benefits, specifically defined benefit programs, are critical when it comes to attracting and retaining employees.

Securities and Exchange Commission chairman Mary Schapiro said that the creation of a system for capturing all stock market data in close to real time is likely half as much as the $4 billion originally estimated.

MasterCard said its SecureCode payment verification system experienced disruptions temporarily Wednesday as part of an attack that also took out its main website by overwhelming it with high traffic.

Advisors need to do more to turn highly satisfied customers into active referrals, according to a survey.

Contributions to 401(k)s increased in the last year, Principal Financial found in a survey of 1,159 employees and 529 retirees in October.

Tracking client information is important since it becomes the basis of the marketing plan. Unfortunately, many firms don’t monitor the source of their new business and miss out on marketing opportunities.

Deutsche Bank’s fund arm goes the extra mile to promote its funds, a Corporate Insight study finds.

Health organizations take the biggest hit, with a 63.7% decrease, according to a BofA Merrill survey.