Practice

One year after the "untimely" death of Richard Aster, founder of Larkspur, Calif.-based Aster Capital Investment Management, the investment advisor is selling off its assets.

The Securities and Exchange Commission has approved new Financial Industry Regulatory Authority rules that prevent mutual fund and hedge fund industry personnel from serving as public arbitrators, effective July 1.

The Securities and Exchange Commission last week unveiled its money market fund proposals that, in part, seem to have won the support of its biggest critic: the Investment Company Institute.

Thanks to advances in medicine and technology, more of us will live to see our grandchildren to adulthood.

An advisor who has worked for other advisors and now runs his own firm offers mangers tips on how to better supervise new hires in response to a recent blog post.

SpringReef Partners, a consulting firm specializing in evaluating wealth mangers for high and ultrahigh net-worth clients, has been acquired by Aronson, an accounting and consulting firm based in Rockville, Md.

Writing and send a press release sounds like a simple way to hang your shingle as a new RIA, but Dave Grant said the process is more involved than he thought.

A slew of recent regulatory shifts is keeping examiners busy -- and advisors must know how to react when they get a call from FINRA or the SEC.

Ed Slott, Your IRA Expert, answers questions on when to convert a traditional IRA to a Roth and what happens when the 60-day rollover period has passed.

Regulators have formed a working group to enhance coordination between federal and state banking agencies on cybersecurity.