Practice

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer.

BMO Global Asset Management continues to expand its Retirement Services teams while keeping an eye out for more potential hires.

In a new report released on Monday, TD Ameritrade reveals some common myths and realities of becoming an RIA in today’s business environment.

Only about 2,100 SEC-registered investment advisors switched their registration to state oversight, according to the North American Securities Administrators Association -- roughly half the number that the SEC estimated would switch as a result of the Dodd-Frank Act.

The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer. Gregg is known for advocating bipartisan approaches to balancing the national budget.

The Financial Industry Regulatory Authority will present the latest on fiduciary rules, enforcement and other issues affecting financial advisors at its annual three-day annual conference opening today in D.C.

Fidelity Investments has rolled out a smartphone application for NetBenefits 401(k) plan participants.

The municipal bond market may benefit from the shake-up at the Internal Revenue Service as the newly named acting commissioner Daniel Werfel has close ties with state and local governments and is viewed by market groups as a strong ally.

The House passed a controversial bill on Friday requiring the Securities and Exchange Commission to conduct additional economic analysis on its rules.

A U.S. District Court ordered a former Ameriprise advisor to serve a year of house arrest and pay restitution for defrauding a client.