Practice

FINRA reached its fifth anniversary Monday. The independent regulator of the brokerage industry said it has levied $254.1 million in fines, since July 30, 2007.

Marketing expert Marie Swifts says creative events help savvy financial advisors build top-of-mind awareness and relationships that last.

The Certified Financial Planner Board of Standards has unveiled a new framework for its disciplinary arm to follow when taking action against a member, the first such standards the certification group has issued in its history.

A former AllianceBernstein investment guru is taking a stab at public service.

The starter's pistol is about to be fired for the swaps industry.

House Republicans have charted a course for expedited tax reforms next year in case they control Congress and the White House.

Target-date funds pulled in $13.9 billion in the second quarter despite the nearly 3% loss on average, according to Morningstar.

As sharp lines have emerged within a prominent House committee over how to step up examinations of investment advisers, the panel's chairman has signaled that no legislation will advance without broad, bipartisan consensus.

Steve Wershing, "The Referral Doctor," says if advisors want to get referrals, it’s more important to have people remember what kind of service and performance you delivered than to simply have a collection of fans.

Women age 65 and older live in poverty at higher rates than men even as more of them participate in employer-sponsored retirement plans, according to a U.S. Government Accountability Office study.