Practice

The SEC's Michael Piwowar said Monday that he has asked the SEC's Office of Municipal Securities to work with him on proposals to improve the market.

What's to be done for people who have plenty of money, but just can't seem to enjoy it?

If the graying financial services industry is to replenish the ranks of retiring advisors and brokers, firms and trade groups must take a more active role in promoting the field to millennials, says Pershing's Mark Tibergien.

U.S. banking regulators are crowding out the Securities and Exchange Commission on money-market mutual fund rules and other decisions that affect how capital markets are overseen, a top securities regulator said today.

As tens of millions of baby boomers enter their golden years, Bank of America Merrill Lynch has appointed its first gerontologist to help advisors address clients' age-related concerns.

From regulators' crossed signals to perceptions of subpar service, what follows are the most notable quotes from the past week's stories.

As the Financial Services Institute marks its tenth anniversary, the trade group is focused on expanding its advisor membership and ramping up its advocacy on legislation and regulation at the state level.

The stage may be set for a settlement after a judge denies the board's attempt to quash discovery & allows the Camardas' request to seek monetary damages.

The number of CFP professionals worldwide rose by 3.76% in 2013.

Western Asset Management, a unit of Legg Mason, will pay more than $21 million to settle charges of defrauding clients, the SEC said.