Practice

A report by the U.S. Treasury's Office of Financial Research on asset managers and systemic risk is inaccurate and should not be relied on for policy decisions or regulatory action of any kind, says the Investment Company Institute's General Counsel Karrie McMillan and Chief Economist Brian Reid.

Certain securities salespeople are giving the brokerage industry a bad name by putting clients into manifestly unsuitable securities, namely leveraged and inversed ETFs, which are attracting wary and watchful eyes among U.S. regulators.

Self-employed individuals and small-business owners may not meet the requirements of new mortgage rules that went into effect Friday and could face hurdles obtaining new home loans.

A new PriceMetrix study outlines critical factors for keeping clients connected.

Want to be a divorce financial planner? Here are the top tips to help you be successful.

In the bank channel, fee-based business is the Woodstock of strategies--everyone says they're doing it, but few really are.

If you asked your clients to describe you and your practice in two sentences, would you like what they have to say? Would they even be able to describe you or your practice in two sentences?

The SEC is putting advisors on notice that its examiners will cast a wide net in their reviews of investment advisors over the coming year.

Joseph Dear, chief investment officer of California Public Employees’ Retirement System, the largest U.S. public pension plan, is taking leave to continue personal health treatments.

Commentary: Of the five economic proposals Jesse Myerson lists in Rolling Stone, one stands out, though not in a positive sense: that the U.S. start a sovereign wealth fund. It's a proposal that would prove problematic for capital markets, pose thorny conflicts of interest, and offer vast opportunities for cronyism and graft.