Portfolio

Securities and Exchange Commission Chair Mary Jo White met with leaders of the equities and options exchanges, FINRA, DTCC and the Options Clearing Corporation following the August 22 interruption in the trading of NASDAQ-listed securities.

Beverly Hills Wealth Management has launched an internal asset management division with the addition of the emerging McComsey Asset Management, with $30 million in assets under management, to help attract a greater number of breakaway brokers.

Bloomberg -- Wealth among Asia-Pacific millionaires may top North America’s as soon as next year as Japanese economic growth boosts investor returns in the country, a report by Cap Gemini SA and Royal Bank of Canada showed.

Significantly altered results now appear when users search for fee-only advisors.

How do Americans stack up with the rest of the world in terms of their retirement readiness? Not that well, according to a new report from HSBC.

For the last several years the investment management industry has seen a seismic shift towards outsourcing middle and back-office activities. This shift and the development of a successful outsourcing model has come with some degree of skepticism.

While the coming fiscal debate looms in the background -- along with probable accompanying market volatility -- there are a number of other possible legislative and regulatory items that also affect the insurance and advisory industry.

The IRS has released guidance on issuing tax refunds to same-sex married couples in the wake of the Supreme Court’s decision striking down the Defense of Marriage Act.

Despite a tarnished reputation, annuities make sense for some clients. Even so, advisors highlight some of the biggest challenges they face in using annuities for clients.

Sometimes changing broker-dealers doesn't work out the way you expect. Just ask Wayne Maier, a financial advisor in Bay City, Mich.