Portfolio

Many potential clients don't understand how a good advisor can help them meet their financial goals. These key questions can lay a foundation for a relationship.

The SEC has named David Grim to lead the agency’s effort to tighten mutual-fund rules.

The investment industry has an age discrimination problem, and millennials and Generation X are bearing the brunt of it.

Morgan Stanley led the wirehouses on profitability during the first quarter, even as advisor headcount declined.

With comprehensive planning, hopefully this won’t happen. But if it seems like it might, how can planners help clients who’ve gone broke or are about to?

Planners and clients should determine whether the high premiums on stand-alone policies provide benefits that are worth the price -- and whether coverage provided by riders on life insurance policies is sufficient.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

Chairwoman re-ups support for uniform fiduciary standard for advisors and brokers, but says it will only be effective if examinations increase.

There is an opportunity for the industry to learn from technology and get better, said Merrill Lynch Wealth Management head John Thiel.

The Department of Housing and Urban Development has revamped the rules on reverse mortgages to allow the servicer to foreclose the home mortgage if the account holder dies and the home is left to a non-borrowing spouse; Plus, five ways to talk to parents about their retirement income.