Practice

Retirement plan advisers’ top five concerns include new disclosure rules, market volatility, finding greater flexibility and customization in plans, measuring a given plan’s success and an expected redefinition of fiduciary status. Those are the results from a national listening tour conducted by Transamerica Retirement Services.

Almost seven in 10 U.S. households that own traditional IRAs have developed strategies for managing income and assets in retirement, according to a study released last week by the Investment Company Institute.

Retirement plan advisors’ top five concerns include new disclosure rules, market volatility, finding greater flexibility and customization in plans, measuring a given plan’s success and an expected redefinition of fiduciary status.

Most advisors don’t have a disaster recovery plan. We all like to think it won’t happen to us when we think of the big ones -- tornado or hurricane -- but all firms and advisors need to be prepared for anything that can cause an interruption to our business and serving our clients. Here's what you need to know to get started.

The SEC charged a longtime Bernie Madoff employee with fraud for his role in creating fake trades to facilitate the massive Ponzi scheme.

The SEC has ordered broker-dealer FTN Financial Securities to pay nearly $2 million for allowing a registered investment advisor, Sentinel Management, to defraud its clients through a reverse repurchase transaction.

The Investment Company Institute on Monday sent a letter signed by 32 leaders of the fund industry, to the co-chairs of the Super Committee, or the Joint Select Committee on Deficit Reduction.

Marketing expert Marie Swift says the end of the year is a perfect time to review everything in an advisor’s marketing toolkit. This week, she talks about the importance and value of the power bio and the core issues article.

Eight in 10 advisers who sell annuities report that they are having more client discussions about retirement income planning than they did five years ago. And those discussions are becoming more emotional, according to a new report, “The Evolution of the Annuity Industry," released by the Insured Retirement Institute (IRI) and Cogent Research.

For more than a year, Republicans have been hammering Democrats for what they say are the hefty economic costs of new financial regulations.