Practice

With President Obama re-elected and Senate Democrats in the legislative driver's seat, the 2010 reform law is here to stay.

When you serve a client well during one of the most difficult times of their lives, it’s not just helpful for the client, but it’s also good for your business says Amy Florian, an educator, Schwab Impact speaker and the founder of the Chicago-based loss and grief consulting firm, Corgenius.

The Securities and Exchange Commission has filed 734 enforcement actions in the past year, one shy of last year’s record of 735, with a focus on investment advisors.

Is your business ready to offer mobile services to clients? Already, a quarter of U.S. online adults have an interest in using their mobile devices as a main channel for their personal financial life, said Neesha Hathi, senior vice president of Charles Schwab's Advisor Technology Solutions, at a technology trends panel Wednesday at Schwab's Impact conference.

Merrill Lynch has added industry veteran Daniel Sandlin from Morgan Stanley.

The firm has added a team with over $500 million in production to its southern California offices.

U.S. Treasury Secretary Timothy Geithner yesterday urged the Securities and Exchange Commission to pursue new rules for money-market mutual funds, triggering fresh opposition from industry leaders who had beaten back similar proposals and are pursuing a weaker overhaul.

The Investment Company Institute and the chairman of the ICI Money Market Working Group, William McNabb, who is also the chief executive officer of Vanguard, are speaking out against the Financial Stability Oversight Council’s meeting yesterday to discuss money market fund regulation.

Some planners join boards. Others volunteer for local causes. Sun Group Wealth Partners in Irvine, Calif., decided to build bridges with its community by funding memberships for about 1,000 families of kids with special needs like autism to a unique educational museum called Pretend City.

Prudential Retirement has strengthened its stable value team with the appointment of Michael Davis as its new head of stable value.