Regulation

Why timing is important for clients filing for Social Security; Plus, how to decide whether your client should invest in a 401(k) or a Roth IRA.

Asset management industry critics of the Department of Labor's fiduciary initiative issued a torrent of comments blasting the proposed regulation as costly, unworkable and harmful to low- and middle-income investors.

A New York-based hedge fund manager traveled to Tehran to do scouting work. During a 10-day trip, he liked much of what he saw.

Advisors' use of social media is on the rise. Here's how you can be both social and compliant.

For the third time in the past year, the wirehouse discharged a long-time advisor with a big book of business, this time alleging "inappropriate workplace behavior."

The firm reported solid growth and record advisor productivity in its wealth management business.

Though the industry reaped 34% profit margins and global AUM rose 10.5% to $67 trillion in 2014, revenues rose only 6.3% to $319 billion, while fees dropped an average 40 basis points.

Critics charge that the fiduciary proposal will be a death knell for the brokerage model in the retirement space, leaving low- and middle-income investors without advice.

While most people in the retirement industry agree that the Department of Labor has its heart in the right place in wanting to protect individuals from conflicts of interest, many don’t believe the agency has gone about its rule-making in the right way.

Digital-first firms gravitate toward a blogging website that has aired several heated industry debates, a markedly different approach from the cautious way traditional firms present themselves online.