Practice

The time for watching and waiting is over. Twitter is a cultural phenomenon and more and more financial advisors are setting up Twitter profiles and testing the waters to connect with existing clients, promote their services to potential new clients and share industry news and insight with their peers. Here's what you need to know.

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of a Securities and Exchange Commission lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

TJ Gilsenan, the Web Savvy Advisor, says it's time for advisors (if they haven't already) to start tweeting. Here are some tips to help you and your firm start taking advantage of this powerful social media tool.

The U.S. Attorney’s Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.

More than 80% of investment advisors would prefer to pay user fees to fund greater SEC oversight than to be overseen by a self-regulatory organization, a major new study found.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.

Most couples disagree on a lot of important points when it comes to retirement planning. That lack of agreement can translate into lost financial planning business, making it important for advisers to get couples to work together, according to Fidelity Investments.

Most couples disagree on a lot of important points when it comes to retirement planning. That lack of agreement can translate into lost financial planning business, making it important for advisors to get couples to work together, according to Fidelity Investments.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.

Market volatility is pushing fund managers to look for robust investment risk management systems, says a report from financial consultancy Celent.