Practice

An unexpected windfall is welcome, but stressful. Here's a plan for helping clients cope.

How to make the most of professional relationships without running afoul of regulations.

The last crash is still fresh in the minds of investors — and recent volatility doesn't help.

The firm has embarked on an aggressive strategy to double the assets in its managed account group over the next five years and these two men are leading the way.

Section 165 has yet to happen but it should have the biggest impact.

Clients should update their wills after births, deaths, marriages and — especially — divorces.

A practice management expert offers insight into the land of the semi-captive and dually registered advisor.

A Financial Industry Regulatory Authority arbitration panel has ordered Wedbush Securities and one of its former brokers to pay $2.9 million in damages and fees to an elderly investor who allegedly fell victim to a faulty investment scheme.

The Securities and Exchange Commission is seeking public comment on the use of derivatives by mutual funds over the next 60 days after publication in the Federal Register. If it determines that new regulations to protect investors are necessary, the SEC will consider passing and enforcing them.

The trade group representing clearing agents and exchanges in the futures market says that the Commodity Futures Trading Commission has underestimated the costs of potentially requiring broker-dealers and clearing firms to record phone and electronic communications and store records.