Practice

Program managers and bank advisors may not agree on everything, but most likely they see eye-to-eye on one thing: the desire to increase an advisor’s production.

Why is branding so important and how can you build a stronger brand?

Mary Jo White, President Obama's nominee to chair the SEC, faced little resistance at a Senate confirmation hearing as she said that, if confirmed, she intends to move swiftly to close the book on an array of rules that advisors have been watching closely.

Nuveen Investments has pulled the plug on the shares of its Nuveen Large Cap Select Fund (FLRYX) sold to 401(k) plans.

Mary Jo White, President Obama’s choice to run the Securities and Exchange Commission, may be compelled to provide more information about her ties to large banks as senators press her about how she would operate as Wall Street’s regulator.

Oppenheimer & Co. agreed to pay about $2.9 million to settle claims by the U.S. Securities and Exchange Commission that it misled investors in a private-equity fund.

Fidelity Investments, the biggest U.S. manager of money-market mutual funds, said there is growing agreement among company leaders and regulators to limit any new rules for the products to those eligible to buy corporate debt.

More than two-thirds of advisors (68%) have no formal succession plan for their businesses and among those who do, the plans are sketchy.

How often should you post? Is there ever enough? Advisors need to consider quality over quantity when it comes to social media.

The network of independent broker-dealers has introduced a platform that proactively rebalances client portfolios at all account sizes for lower prices.