Practice

While IT budgets at buy-side firms have not fully recovered from the cutbacks of the Great Recession, front-office demands keep growing in quantity, complexity and required speed of response.

loomberg -- Measures affecting Dodd-Frank Act requirements won’t move forward in Congress while the government remains shut down, according to two Republican leadership aides.

The SEC says it has reached a settlement with a Nebraska investment advisory firm charged with breach of fiduciary duty involving three funds it managed over the course of the previous decade.

Measures affecting Dodd-Frank Act requirements won’t move forward in Congress while the government remains shut down, according to two Republican leadership aides.

Firm founded by ex-PayPal & Intuit CEO opens Denver office as digital upstarts jockey for tech-savvy clients.

The IRS has temporarily stopped sending out tax refunds and the Tax Court has suspended operations as lawmakers in Congress continue their fiscal battle.

VisionPoint Advisory Group is looking to use the giant independent broker-dealer as a base to expand by recruiting more advisors.

Women, in particular single, divorced and widowed women, face different retirement challenges than men and can often benefit from a different type of counseling.

The Federal government shutdown will leave most agencies overseeing the bond market mostly operational in the near-term, but the municipal advisor rule’s implementation will be delayed and issuers are worried that Build America Bond payments might be cut off or delayed.

There is an abundance of technology available for financial planners and their practices. This hasn’t always been the case, but now the selections are almost endless. Here's how new solo planner Dave Grant decides what to use.