Practice

It is vital that firms and financial advisors be aware of the stakes involved in the SEC's suit against the SIPC writes FSI president and chief executive of the Financial Services Institute, Dale E. Brown.

Ultrahigh-net-worth families are asking advisors more questions about family offices. Here are a few guidelines to think about.

The firm added five advisors, with one from Raymond James and one from Morgan Stanley, to further expand in the region.

The IRS has revealed additional details about what may be the first round of sequester-related the closures planned for May 24, June 14, July 5, July 22 and August 30 of this year.

Same-sex and divorced couples can be a profitable niche for advisors, if they know how to market.

Mass affluent investors are beginning to regain confidence following the economic downturn, according to the Spring 2013 Merrill Edge Report.

Most IRA owners limit withdrawals to required minimum distributions, according to a new report from the Employee Research Benefit Institute. Nevertheless, a substantial number of higher-income retirees take withdrawals before age 70-1/2 and those non-required distributions may be relatively large, in relation to their IRA balances.

New rules being considered for U.S. money-market mutual funds will make them safer for investors while forcing some smaller providers out of the business, Moody’s Investors Service analysts said this week in a research report.

What impression do your clients get when they enter your office before even saying word? Are they comfortable and receptive or turned off? Ron Carson says little things can go a long way when it comes to attracting and retaining clients.

The Financial Services Institute gained traction with a new round of advisors from Capital Investment Companies.