Practice

On a three to two vote, the Securities and Exchange Commission charged the nation's exchanges and the Financial Industry Regulatory Authority with developing and maintaining a consolidated and auditable trail of every order, cancellation, modification and executed trade on 13 national stock exchanges, 10 options markets and through more than 200 broker-dealers.

There is a new sheriff in town for the mutual fund industry-and he may need to borrow money for bullets.

Investment Centers of America beefs up its practice management program with newly created senior position.

Ask Ed Slott: Your IRA Expert answers readers’ questions about possible tax implications for retirees as a result of health care reform legislation.

When LPL Financial sought to improve its highly successful Model Wealth Portfolio platform, its advisors made a couple of requests: make it easier for us to select securities and to rebalance our client portfolios.

The head of the Financial Services Institute has delivered a pointed letter to House committee leaders criticizing the efforts of the Department of Labor in developing a new definition of the term "fiduciary" that would cover financial professionals providing advice to retirement plans.

Women’s confidence that they can successfully retire has taken a hit in the past two years, but working with a financial advisor tends to boost female investors’ outlook on their future, according to a new Prudential Financial study.

Fund managers and financial advisors are looking to the cloud to reduce costs, enhance performance, and improve accessibility, but many questions remain.

Fund managers and financial advisors are looking to the cloud to reduce costs, enhance performance, and improve accessibility.

When it comes to technology, most advisors want to streamline, but they remain stuck using multiple system, according to a survey.