Practice

The Securities and Exchange Commission's municipal bond office has sent a so called "no-action" letter to NetRoadshow Inc., paving the way for the firm and its underwriter clients to present Internet-based "road shows" on municipal bond offerings to retail investors.

Tired of running his financial planning firm in Michigan, Jason Wenk made a radical change to his planning practice a couple of years ago. He sold a portion of it, moved his family and his company to Laguna Beach, Calif., and began to grow a practice entirely through blogging.

Social networking has become so common and broad-based in its use that banks have no choice but to incorporate social networking into their marketing efforts. Here are five ways they can do that.

Thomas Foss read Ron Carson’s rebuttal to his position on generating referrals with great enthusiasm, but was disappointed by the response.

A story on the best way to duplicate your top clients stirred some debate. The Prosperous Advisor, Ron Carson, says the key to referrals is asking for them.

The regulator will collect about $800,000 in fines for stock and options trading and trade reporting violations at over a dozen brokerages, according to the regulator's January disciplinary actions report.

When it comes to designing system and workflow automation for your firm, keep it simple, a panel of experts said at the TD Ameritrade Institutional national conference in San Diego.

Stadion Money Management has found itself a new distribution partner.

Mary Jo White, a former prosecutor and defense lawyer, is sometimes referred to as Attila the Hun by her peers.

Why don’t more professional athletes work with financial advisors? Fear and ego often stand in the way, says former NFL player Willie Williams. How do you think advisors can get athletes as clients and do a better job serving them?