Practice

The chief executive of the self-regulatory organization urges against duplicating regulatory efforts, and adds that big data will soon define how regulators operate.

Failure to communicate NAV transfer rules can be costly to investors and brokerage firms.

Treat their tax liabilities as expenses, and plan accordingly.

"There's a plethora of [private equity firms] sniffing around, and I think all the big firms are being pursued," says Brent Brodeski, CEO of Savant Capital Management.

The median state pension last year had 70% of the assets needed to meet promised benefits, up from 69.2% in 2013.

Blucora, formerly known as InfoSpace, adds the B-D to its growing, tax-focused business.

To help decide if robo technology is right for you, understand the various capabilities that it can provide and the experience your clients will receive.

In a bid to attract more mass-affluent clients, the bank is calling on bankers and advisors to work in teams.

This strategy allows clients to buy more shares over time, but it also can reinforce jitters if they're nervous about market declines; Plus, how clients can avoid Medicare Part-B increases next year.

Savvy moves in the fourth quarter can help clients owe less to the IRS next April.