Practice

The 29th Annual National Investment Company Service Association Conference & Expo opens Monday, with NICSA president Theresa Hammacher launching two assessments of the state of the fund industry.

As a House Judiciary Committee panel meets Monday to hold a hearing on public pensions and the need for state bankruptcy protection, pension and muni bond experts are opposing a recently introduced bill that would prohibit them from issuing tax-exempt bonds unless they subject their pension plans to federal oversight and regulation.

Two deputies were named in the FDIC's Office of Complex Financial Institutions, while three staff positions were announced in the Division of Depositor and Consumer Protection.

The fund business looks like it’s back.

Initiative aims to loosen up credit to small businesses for expansion, job creation and improve local banks' liquidity.

According to a poll of 41 individuals with more than $5 million of investable assets conducted by SEI, 68% admitted that emotions get in the way of making the best choices, while 17% said instinct guides them most.

Operating in a small city can present challenges but also quite a few growth opportunities for a financial planning firm. So says Cheryl Holland, a registered financial advisor and president of Abacus Planning Group, Inc. in Columbia, S.C.

Rule-making body wants the SEC to make changes to prevent potential conflict of interest in municipal securities trading.

What’s a wirehouse advisor to do in this uncomfortable situation? And there’s more on the fiduciary standard.

Women want a quality relationship with their advisors that involves interpersonal, relationship-driven factors. What does that translate into in your practice? It starts by listening.