Practice

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The IRS has issued new draft instructions, notices and a publication to help taxpayers and tax practitioners deal with the Affordable Care Act.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Bogle wants to make your nest egg 65% bigger; How smart savers choose between a 401(k) or Roth IRA; Pensions stick with hedge funds despite CalPERS exodus

Census Bureau data comparing U.S. racial demographics with those of advisors show the gap is big. Financial Planning's research has found it may be even bigger.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

The firm’s new wealth management arm hopes Sayra will become the voice for women in the industry.

Barclays settles for $15 million after the SEC found its compliance system inadequate following its purchase of Lehman Brothers' wealth advisory business.

A workshop on an approach that some say goes far beyond classic principles, gives international players a taste of the process.

How to survive 4 major retirement hazards; Picking the 'right' hedge fund involves more than looking in the past; ETFs should be in your 401(k), says Morningstar