Practice

Technology can help firms stay in good stead with regulators.

Seniors are advised to work longer and retain their equity investments to help their portfolios keep up with inflation; Plus, why retirees are moving again.

The credibility of the big banks is on the line while regulators face their own test in striking a reasonable balance between being too easy on the banks and unrealistic in their expectations.

It bears paying attention in the coming year as to what inroads digital-first firms can make into the DC space.

Inflation is just one of the risks that annuity investors face since higher prices could lower the purchasing power of annuity payments; Plus, changing strategies for Social Security.

It may seem harmless, a client suggests about a plan to sell back an advisor's foreclosed property. Bad idea, says attorney Alan Foxman.

Similar to mutual funds, but for a fraction of the price, collective investment trusts can make a big difference to a portfolio.

The former rep was barred last week for failing to cooperate with a FINRA investigation into allegations that he swiped $65,000 from a bank customer's account.

Some clients may be better off claiming benefits early if they are younger than their spouse and expect a shorter life span because of medical problems; Plus, what clients need to know about annuities.

Advisors and firms will struggle with multiple and possibly conflicting standards should the Labor Department move forward with its fiduciary proposal, the industry group warned.