Practice

The brokerage firms failed to waive mutual fund sales charges for certain charitable and retirement accounts, FINRA says.

Comprehensive retirement planning needs to help aging clients prepare for the non-financial risks that they face, from broken hips to dementia.

Nearly 97% of advisors found niche marketing to be an effective strategy, according to a recent report from Cerulli Associates.

Under Social Security's current rules, any amount of earnings after age 66 won't reduce lifetime payouts.

Lawmakers are likely to pass as early as next year some measures aimed at changing the rules governing Social Security, Medicare and Medicaid; Plus, five steps for a comfortable retirement.

Plan ahead for the government's cut of your client's dividend income. Plus, how a mutual fund sale impacts a client's taxes, and assessing tax treatments for options trading.

Mike Greene will serve out the term of Joe Votava, who resigned earlier this year as chair-elect due to personal and business reasons.

Concerns about China and turmoil in Greece, along with growing speculation about the Federal Reserve were leading factors in the decline in investor confidence, according to a Spectrem Group report.

Analysis: The original version put financial advisors under onerous requirements that I have not heard of any other industry having, writes recruiter Michael King.

A key component to a successful wholesaling and marketing plan to capture AUM includes identifying wire houses, regional platforms, and other RIAs who currently use your existing products and indicate strong interest in owning your ETF.