Practice

The Securities and Exchange Commission has named Paul A. Beswick as acting chief accountant in the Office of the Chief Accountant, succeeding James Kroeker, who left the SEC last Friday.

Regardless of size, the most widely cited response to the question of whether a fund firm will cut spending on technology this year is: We won't.

The Financial Industry Regulatory Authority has ordered five firms to pay $117,425 in fines and restitution to customers for violation of municipal securities trade, pricing and supervisory rules.

The FPA and FiPath for Advisors announced a strategic partnership that will allow FPA members to access a variety of online marketing and educational tools.

The addition of The Lerner Group is the seventh advisor team to join HighTower in 2012, and the 32nd team to join the partnership since it launched.

On July 16, 2012, Philadelpia-based Lincoln Financial Distributors, the wholesale distribution subsidiary of Lincoln Financial Group, has added Chris Somers as a regional sales director for its Institutional Retirement Solutions Distribution team.

LIMRA survey finds that three in five people who work with an advisor contribute to a retirement plan while only 38% of people doing their own financial planning invest in similar long-term investment plans.

Wireless networks, mobile devices and cloud computing have transformed the way advisors do business. How can these innovations change your business?

On eve of law's second anniversary, regulators face heavy scrutiny over how they will implement remaining Dodd-Frank rules. Many key regulations have yet to be seen.

It may seem completely crazy to compare the use of social media with sexual harassment.