Practice

The Securities and Exchange Commission has voted unanimously to propose rules under the JOBS Act allowing companies to offer and sell securities through crowdfunding.

A renewed federal emphasis on financial literacy education could have an ancillary payoff for the financial planning profession: more new planners.

Clients often walk in the door with an idea about how they’d like to leave their assets. It’s an advisor’s job to help them understand issues they may not have considered.

Job insecurity has focused attention on the need for emergency cash.

With recent changes in marital laws, more gay couples are seeking the counsel of financial advisors to help them navigate the complex legal and financial landscape that comes with being in a same-sex partnership.

A former UBS AG banker surrendered to U.S. authorities to face a 2011 indictment that he conspired to help wealthy Americans evade taxes by hiding accounts in a smaller Swiss regional bank.

Almost three in four millionaires (73%) and almost as many mass-affluent investors (72%) reported being satisfied, up from 72% and 69%, respectively, last year.

Three investment advisory firms have been sanctioned by the SEC for repeatedly ignoring problems with their compliance programs.

Clients’ desire for principal protection plus profit potential has benchmark-based products booming.

The U.S. Securities and Exchange Commission voted unanimously to seek comment on a proposal to allow businesses to sell ownership stakes in their companies by soliciting investors over the Internet.