Practice

Bank executives are sounding considerably less positive about Basel III than they did when global regulators announced final international capital and liquidity standards last year.

Independent broker-dealers and consulting firms can provide hints for what to say and omit from your posts and other social media communiqués.

The Securities and Exchange Commission said it has started enforcement proceedings against a St. Louis-based registered investment advisor and its president for using a broker-dealer to artificially inflating the prices of thinly executed stocks to report inflated performance to clients.

The Michael Jackson Estate has featured fireworks since very shortly after Michael died on June 25, 2009. His mother, Katherine Jackson, was not happy about non-family members, including attorney John Branca and music executive John McClain, being named as executors of his estate. So she hired lawyers and challenged the executors in probate court. They fought … and fought … and fought.

Workers used the money for emergencies, a Bankrate survey found.

The Great Recession significantly widened states’ pension and retiree health care funding shortfalls, the Pew Center on the States concluded in a report released Tuesday.

Obama has two options: Nominate a candidate who sparks little debate (no easy task), or make a recess appointment, a move that will further infuriate GOP opponents.

Nearly one in five Americans, 19%, have drawn on their retirement savings in the past year to cover emergencies, a survey of 1,004 adults by Princeton Survey Research Associates International for Bankrate in early April found.

Exchange-traded funds are likely to grab a “significant” share of the 401(k) market in coming years, according to Skip Schweiss, president of TD Ameritrade Trust Co.

When you start putting pen to paper (or fingers to keyboard), think carefully about the words and the style you use. Every communication is an opportunity to reinforce your positioning, market your firm and your build your brand. Sometimes, dear mild-mannered financial planners, it’s okay to be bold – and even a bit (gulp!) bossy. It’s a noisy world out there. Your ads, flyers and other marketing promotions must stand out and grab attention. …