Practice

FINRA has issued a long-awaited regulatory notice outlining the proposal for a controversial data-sharing system known as CARDS, asking for comments from the industry and other stakeholders.

In a room full of some 1,000 financial planners only about a dozen raised their hands when asked if they like their profiles. LinkedIn exec Jennifer Grazel offers advice on how advisors can make the most of this tool.

The imaginary retirement-income crisis; what happens when your retirement is ambushed; retirement couples' dilemma: the $100,000 difference

Here are some smart ways to avoid the stress of juggling multiple responsibilities in your practice.

The rush to shift money to Roth IRAs may be built on bad assumptions. Keep your clients from making a mistake.

At an advisor summit, the industry group urges members to reach out individually to lawmakers to fight regulatory plans.

Bank of America agreed to pay $7.65 million to settle U.S. regulatory claims that it overstated its capital by billions of dollars after failing to report losses tied to its 2009 purchase of Merrill Lynch & Co.

Raymond James' annual Women's Symposium, to be held Oct. 8, is due to feature leading women in the financial services industry, including Sallie Krawcheck.

Four Wells Fargo advisors have left the wirehouse to join Benjamin Edwards, opening the regional broker-dealer's 49th office.

For every case of elder financial abuse that makes its way to law enforcement, there are 24 others that never get reported. Some advisors are going above and beyond to look after their older clients’ financial interests.