Financial planning

The proposal prohibits brokers from arranging for the expungement of customer complaints as part of arbitration settlements.

Record quarterly profits of $122.7 million were boosted in part by the performance of the regional firm's private client group.

Increasingly, firms are seeking to move toward an ensemble model to improve flexibility and ease the burden on top advisors.

New rules will require institutional prime funds to allow NAV to float to market value.

After being ordered to stop calling his firm fee-only, Rick Kahler claims retribution and threatens a lawsuit.

A 401(k) for everyone; A disturbing look at the new retirement; To get the annuity right, start at the finish line

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account. That is about to change for the riskiest of the funds.

The U.S. Supreme Court has limited bankruptcy protection for inherited IRAs. Here's how you can continue to take care of clients' hard-earned legacies.

Why is it so hard to talk to clients about fees? Cathy Curtis, a San Francisco Bay Area planner and the founder of Curtis Financial Planning, explains how full disclosure can help bring the right clients through your door.

Index mutual fund assets are at new heights but the pressure to keep costs down deters new entrants, says a Lipper analyst..

When does a Roth IRA make sense; How early 401(k) withdrawals can affect your retirement security; Building a solid nest egg

Live online presentations can have a major impact on your ability to attract qualified prospects. Here’s how to get started.

Optimism abounds in an increasingly crowded market for servicing breakaway advisors.

Securities America will acquire assets of a Missouri-based full-service broker-dealer with 368 advisors and $2.4 billion in client assets.

Answering these four questions will help you develop a solid strategy so you can confidently engage prospective and current clients on social media.

What to do with a 401(k) now; When a rollover is not the best idea; Planning for a stay-at-home parent

With $7.86 billion in assets, PIMCO has the largest share of the active ETF market. While these products are gaining ground, they still make up just a small fraction of the total ETF market and PIMCO has yet to break into the top 10 providers overall.

Two financial advisors have left Wells Fargo to join Raymond James Financial Services, the regional's independent broker/dealer.

Despite their smaller size, these boutique IBDs outperform on several desirable metrics.

Fiduciary issues should supersede discussion of fee-only, says CFP Board's Ray Ferrara says.