Practice

Brokers selling higher-fee investments like non-traded real-estate investment trusts and derivative-backed structured notes may get more scrutiny this year after those markets grew in 2013.

Regulators are hoping to release an interim final rule next week designed to satisfy banker demands to change a provision of the Volcker Rule that threatens to force smaller institutions to take millions of dollars in write-offs.

FINRA has identified the suitability of the bonds of distressed municipalities for investors, as well as municipal advisor activity, as areas it will focus on in 2014.

Younger millennials carry half the debt of their older peers.

The legal battle over the application of the Volcker Rule is unlikely to be resolved until mid-January.

Most working-age people in the U.S. and worldwide who expect an inheritance think it will fund all or part of their retirement.

After a blog post suggested tweaks to modern portfolio theory, advisors and other professionals voiced moderated support for the investing philosophy.

A new advisory firm plans to build its business by buying the practices of retiring advisors.

Morgan Stanley said ex-broker Wilhelm Nash left before earning out bonus.

Women advisors have larger client accounts and price more consistently.