Economy

Planned changes to the advisors’ compensation include an increase in the production hurdles on its cash grid.

At first, using social may take a bit longer as you get comfortable, but once you master the tool it will become second nature and will likely become your most powerful marketing and client engagement tool.

The independent broker-dealer got into hot water over unsuitable fund sales, according to FINRA.

The firm plans to reward advisors who team up to focus on goals-based planning.

Deutsche Bank AG and Royal Bank of Scotland Group are among six companies fined a record 1.7 billion euros ($2.3 billion) by the European Union for rigging interest rates linked to Libor.

The overall advisor population has been sliding -- and a new study finds that only one category of advisors is expanding to fill the gap.

The firm sweetened awards for financial planning and increased pressure on its lowest producers.

The SEC asked Morgan Stanley about “multiple significant deficiencies” in its financial reporting after the firm corrected accounting errors involving loan cash flows, income taxes and derivatives contracts.

Joining a branch can provide the benefit of a built-in continuity or succession plan, in addition to the many economies of scale afforded by sharing overhead and resources.

After holdings of U.S. debt surged to a record $1.89 trillion in 2012, lenders from Citigroup to Bank of America and Wells Fargo are culling for the first time in six years and amassing dollars.

Assets have nearly doubled for direct-investing platforms, but wirehouses still reign.

Advisors' attitudes improve for the second month in a row.

Many RIA firms are tempted to use new trust companies to avoid losing clients to big banks. Some experts warn against it.

Not only are the requirements of the Affordable Care Act difficult and complicated for businesses to understand, but in many cases those aspects that businesses and their advisors think they understand are already slated to change in the future, according to one expert.

In case you missed them, here are the five most popular, well-read and shared stories of November from On Wall Street.

Family business owners are more focused on sustaining their business’s longevity than on sustaining wealth across future generations, according to a new survey.

MBIA agreed to insure a $1.16 billion pool of mortgages without its employees reading a report the bond insurer now claims was altered to hide flaws in the loans, JPMorgan Chase’s lawyers told a judge.

UBS AG, the world’s biggest wealth manager, is targeting millionaire clients in oil-rich Nigeria and Angola as Swiss rival Credit Suisse Group AG withdraws from some African markets.

Senior financial services executives said the industry needed to move more quickly to promote diversity and inclusion throughout the organization.

Dubai, which teetered on the brink of default in 2009, is cracking down on misconduct at its financial center to safeguard its position as a business hub.