Practice

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

It's time to quit recycling your goals and focus on what's relevant to your practice, says one practice management coach. Here are four goals advisors should be setting, but often don't.

Regulators will soon finalize their plan to establish a new leverage ratio and it is likely to be tougher than a recently implemented global standard, top officials said Thursday.

Banks with more trust assets under management produce less revenue on average than banks with fewer assets, according to a new study from Kehrer Saltzman & Associates.

Life insurer will offer three funds focused on fixed income, commercial mortgages and real estate assets.

LGBT investors face complex legal issues and this spells opportunity for financial advisors who know how to help.

Bank advisor teams command an estimated $243.2 billion in assets under management, or 39% of all assets in the channel. That's pretty good, considering that only 17% of bank advisors work in teams.

Lawmakers repeatedly returned to the question of whether the five agencies involved in writing the Volcker Rule can enforce it consistently across the various entities they oversee, during a House Financial Services Committee hearing featuring top regulatory officials.

Many wirehouse advisors had to change their compensation disclosure following an abrupt change last fall by the CFP Board.

With Walt Disney's hyper-focus on the guest experience as inspiration, here are a few ways advisors can create an even better client experience.