Practice

If advisors answer these 4 questions correctly, they’ll be in good shape to start an independent firm, says Fidelity’s Bob Oros.

Looking for wealthy clients? Here are the states where you can find them.

The U.S. has more than 1 million households with $5 million or more in investable assets – Are they near you?

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

If mutual funds in 401(k) plans underperform yet charge hefty fees, participants can take action; Plus, President Obama plans to push new rules making it easier for small businesses to offer 401(k) plans.

Advisors can provide valuable services when clients go through the process—and still get paid.

It’s not just about making money. Advisors do a big service when they help their clients use their money to improve their lives.

CPAs and lawyers grow weary of cold-calling financial planners seeking referrals.

When thinking about liquidity, the SEC wants fund companies to do more to ensure that investors can get their money out. In addition, mutual fund companies could be forced to implement swing pricing.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.