Portfolio

In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief.

Household wealth in the U.S. increased from October through December, as gains in stock portfolios and home prices boosted Americans' finances.

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

Money is flooding into exchange- traded funds focused on health care at the fastest rate in at least six years, driven by booming biotechnology and pharmaceutical sectors bringing new products to market.

Overseas trading of Russian stocks is soaring as investors react to the twists and turns of the military standoff in Ukraine long after the Moscow bourse has closed for the day.

While many HNW individuals can count on a fairly steady income from an ongoing business or a successful professional practice, entertainers and athletes can have highly variable incomes. Here’s how advisors can help.

One of President Obama's proposed 2015 budget changes calls for a provision that would require Roth IRAs to follow the same RMD rules as other retirement accounts -- a 'major game-changer' for retirement planning, says one IRA expert.