Practice

After more than two decades urging the SEC to increase regulatory oversight of financial advisors, Barbara Roper stunned many on both sides of the debate by declaring herself open to the prospect of regulation coming from a self regulatory organization, such as FINRA.

Marie Chandoha, president of Charles Schwab Investment Management, told the SEC that a new study on money-market funds was “troubling” because it wrongly concludes that the funds are dangerously susceptible to runs and presumes more regulation is needed.

Legacy expert attorneys Danielle and Andy Mayoras say that the inventors of Gore-Tex, the breathable, waterproof fabric used by many outdoorsmen, illustrate why advanced estate planning is critical.

Sports spectators will likely see a bull cross their television screens this summer, and it will not be from the annual running of the bulls in Pamplona, Spain.

Former U.S. Senator Christopher Dodd weighed in on JPMorgan Chase's much-publicized trading loss Thursday, pointing to it as validation of the need for the landmark financial reform legislation he co-authored.

Institutional investors are increasingly turning to exchange-traded funds for their investment needs, according to a Greenwich Associates study.

J.P. Morgan Retirement Plan Services, the retirement plan record keeping business of J.P. Morgan Asset Management, has hired Bill McDermott in a newly created role as head of Sales and Client Solutions.

The SEC has conducted routine inspections of FINRA’s advertising and arbitration programs, but not as frequently as it had planned.

Estateplanning.com provides consumers with information on a range of planning topics such as elderly care, inheritance, asset protection and disability. It features a legal glossary and an interactive search function that allows users to connect with estate planners in their area.

You can teach classes, you can advertise or you can flat-out buy new clients. But whichever strategy you take, you need to be committed because it's not easy.