Financial planning

Failure to align business practices with a client's needs may invite scrutiny, the regulator warned.

The key to being quoted accurately - and more often - can be summed up in two words: sound bites. Developing the ability to speak and write in sound bites is essential.

Some brokers might be violating rules that require them to get the best prices for clients when they send stock orders to exchanges that offer rebates, regulators said in an outline of oversight priorities

New laws this year likely will have an impact on retirement savings as the government faces population aging and public pension concerns.

The son of a hedge fund founder was charged with murder after New York police said he staged the shooting death of his father to look like suicide.

To make a deal work, "find out what values are most important to both of you," says Sean Montgomery, chief financial officer of The Bridgeway Group, based in Pasadena, Calif.

The fast-growing, private wealth management firm has partnered with a new team, TC Wealth Management.

Which banks are advisors moving to? Eleven recently switched to Bremer Bank, BNY Mellon, U.S. Bank and Wilmington Trust.

Predictions by several municipal experts forecast a 2015 that runs the gamut from a flattening yield curve to increased issuance on the heels of a surprisingly strong year of performance in 2014.

The low-cost fund giant had the most inflows of any mutual fund firm ever, with $216 billion in new money.

In 2015, much of the industry's growth outlook will depend on how competition fares between the cascade of funds entering the market, currency hedging and smart beta trends, and the momentum new non-transparent ETFs can gain with investors and offerings.

A new book says the looming crisis is the result of lawmakers' inaction as well as people's poor saving behavior and decisions.

Pimco's biggest mutual fund had the worst year of client withdrawals in the history of fund management as the firm lost both of its co-chief investment officers, Bill Gross and Mohamed El-Erian.

Life under $150 million: Successful smaller firms say they've overcome common challenges by embracing a long-term view.

Firm president Tash Elwyn explains the upswing in advisor headcounts.

Pimco's biggest mutual fund trailed a majority of peers for the second straight year after missing a rally in longer-term bonds and betting incorrectly that inflation would rise.

The IRS will begin accepting tax returns electronically on January 20. Paper returns will begin processing at the same time.

The past year has taught retirement investors that stocks will produce yields despite volatility; Plus, the biggest risk investors are taking with their retirement nest eggs.

How clients can face higher taxes on gains paid by underperforming mutual funds, shrink their tax footprint and spend their tax refund wisely.

Independence has a growing value both to clients and to would-be acquirers. See how the top firms are standing their ground. Plus: Top 100 rankings and 50 fastest-growing firms.