Financial planning

Regulators at the SEC and FINRA are taking a hard look at how advisors and brokers are protecting digital systems. Here's how firms can respond.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.

Don't lose sight of what attracted them to you in the first place.

The industry's main lobbying group issued its own fiduciary proposal in an attempt to stave off efforts by the Labor Department to impose a rule separate from the SEC's efforts.

Regional broker-dealers like Stifel and Ameriprise have reported rising wealth management profits and client assets.

More seniors are using their retirement income to pay down their house debt, making them vulnerable to financial trouble once they run out of savings or suffer from an illness; Plus, why that 'guarantee' on your client's annuity might be a red flag.

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

A federal grand jury has indicted a former broker with Securities America and Investors Security Company on 16 criminal counts ranging from wire fraud to money laundering.

Incomplete BrokerCheck reports give investors a false sense of security, critics say; Some Google searches do better.

Some of the independent B-Ds specialize in high-end clients with big accounts. See which firms reported the highest share of accounts topping $100,000 -- and what their total client assets are.

People who decide to retire early share common traits that others don't have, such as having a happy marriage; Plus, a better way to help your clients tap their retirement savings.

A team formerly with Lincoln Financial Advisors will join an LPL-affiliated hybrid RIA.

The Internal Revenue Service has agreed to change its policy on identity theft and provide victims with copies of the fraudulent tax returns that have been filed under their names by scammers.

Comparables, such as multiples of revenue or cash flow, may not be most important because they could mean an oversimplified valuation.

The human touch is still needed in the foreseeable future because advisors can approach complex situations with customized solutions, says one MIT professor.

Newly appointed CFO has 18 years of industry experience; replaces Dan Arnold.

Shortfalls in contributions have prompted many public pension plans to take enormous investment risks to increase their returns; Plus, two retirement plan options for entrepreneurs and self-employed clients.

A top lawyer for the industry regulator says it would be happy to help after a congressman calls on the agency to assume advisor exams.

How one bank reinvested in its online banking channel, after devoting much of its attention to its mobile apps over the past few years.

You wouldn't advise clients to use outdated technology--be just as diligent on their paperwork.