Practice

A broad coalition of advocacy groups is calling for the SEC to press ahead with an expansion of a fiduciary standard to hold broker-dealers to identical standards of care for retail client that are already imposed on investment advisors.

Advisors must adapt their thinking and shed their stereotypes about today's "modern family" if they want to attract more high-net-worth clients.

The Securities and Exchange Commission issued its long-anticipated proposal for reforms to stabilize money market mutual funds and protect investors from the type of run that brought the sector to the brink of collapse at the height of the financial crisis in 2008.

The Securities and Exchange Commission on Wednesday unanimously agreed to propose reforms for money market funds to make them less susceptible to runs, such as those that occurred in 2008 when Reserve Primary Fund "broke the buck" and investors pulled $300 billion from other prime money market funds.

When advisors are ready to transition to a new custodian or broker-dealer, how do they transfer and seamlessly integrate client records into the new firm’s system?

New planners should be aware of these commonly cited irks by firm owners and take the necessary steps to avoid them.

Some of the U.S.’s largest providers of money-market mutual funds have sought a compromise on new regulation, making adoption of tougher rules for the $2.6 trillion industry more likely if far from a sure bet.

Market challenges and opportunities; Yoga on the beach, and former Secretary of State Hillary Clinton. These are just some of the activities and topics set to be presented, discussed, tweeted, and analyzed at Pershing's three-day INSITE 2013 conference in Hollywood, Fla., that begins Wednesday. The Twitter-verse is already buzzing.

Sallie Krawcheck scolded advisors last month for their attitudes towards female clients. "Talking to husbands and nodding to wives no longer cuts it," she said.

In an environment of transparency and volatile capital markets, you would think exchange-traded fund vehicles would hold more of a percentage in the $3.6 trillion retirement plan marketplace.