Financial planning

SEC Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system caused a three- hour halt on the Nasdaq Stock Market.

Independent wealth management firm Banyan Partners is nearly doubling its assets under management to $4 billion by acquiring two firms simultaneously.

Federal Reserve policy makers were briefed last month on the potential for establishing an additional tool to aid them when they eventually seek to lift interest rates and tighten monetary policy.

The estate is arguing that a tax bill calculated by the IRS overvalued assets including real estate, a Bentley automobile and the late singer’s “image and likeness.”

When are you most efficient in the day? Figure it out -- and then organize your daily time management strategy with your own circadian rhythms in mind.

"This may sound sacrilegious for a planner, but I’ll admit it: I’m not a big fan of investment management," says solo advisor Dave Grant. Here's why Grant decided to use a TAMP instead.

Are you paying enough attention to your top 20 clients? Here are some tips to help you retain your best clients.

Two of the most influential organizations in the world of independent planners, the CFP Board and NAPFA, do not agree on the definition of one of the most hot-button terms in the profession: fee-only.

Despite the controversy and repeated delays, the IRS and the Treasury Department have been moving forward slowly with implementing FATCA, including the release of a draft version of Form 8966.

Proceed with care. That’s what bankers, accountants and wealth managers are telling same-sex couples considering financial changes because of the Supreme Court’s rejection of a federal law denying them benefits.

More than two-thirds of all students who graduate from a higher-education program that grants a degree or certificate in financial planning do not sit for the Certified Financial Planner Board of Standards exam, according to new research from the CFP Board.

The Internal Revenue Service has proposed to extend for up to 10 years the amount of time that taxpayers would have to apply for the “innocent spouse” tax relief program.

Advisors are adopting new technologies to streamline processes and impress clients. But it's smart to have a backup plan in case the technology fails you, says solo advisor Dave Grant.

Raymond James is ramping up its pitch to attract independent advisors by opening up access to alternative investments.

Many advisors have been surprised, almost shocked, to learn how unprofitable the bottom 50%, 60% or even 70% of their client base actually is.

Fewer RIAs this year are in the mood to sell thanks to stable growth in the markets.

The cultural divide that has long separated bankers and advisors is easing as banks step in to settle differences between them. Here are some of the steps banks are taking to defuse the banker-broker culture clash.

The organization is planning a new, broadly accessible online program now being developed in partnership with the University of Illinois.

The 15th largest independent broker-dealer in the country, National Planning Holdings, continues to grow in size.

After just a few months of running his solo practice, advisor Dave Grant has run into a good problem: how to manage a growing list of prospective clients.