Financial planning

Who are the most productive top program managers? Here’s a ranking of our top program managers by production per advisor. How do you stack up?

Check out a new look at our top bank program managers list, reshuffled and ranked by percentage increase in team production.

“It's a pretty big issue for us,” said Daniel Sibears, FINRA executive vice president for member regulation. “There are many dozens of complaints where there's been [a] compromise of customer information, particularly information that is needed to get into online accounts and to execute transactions and move money.”

Thirty eight percent of fund firms across the country said that they will increase technology-related costs while a total of 17% of respondents said they expected no change in whether their firm's technology costs would rise or decline for the rest of this year.

Exchange-traded fund investors pumped in some $84 billion of assets into equity ETFs while fixed income funds brought in $30 billion through May 31, according to data from State Street Global Investors.

Advisors needs and wants are moving targets and mutual fund wholesalers must constantly adjust to if they want to hit the bullseye.

The tax-exempt market took another beating Monday as the 10-year yield rose to a 24-month high and traders said demand for municipal bonds was still deteriorating.

Government policy is becoming a more prominent topic of conversation between financial advisors and their clients, according to a recent study as well as anecdotal reports -- and remarks by the Federal Reserve chairman last week on the future of the Fed’s stimulus policy have spurred even more discussions about government policy.

The recent notification from FINRA, that the regulator will spot-check social media communications of its members, underscores how crucial it is for firms to have a robust social media policy in place. Here are 11 issues to consider in crafting an effective social media policy.

Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility.

To stay competitive in attracting the next generation of clients, advisors will need a strong digital presence. Social media is a big part of that, says UBS advisor Mitch Slater.

FINRA's social media spot check notification last week shouldn't come as a terrible surprise to the industry. The announcement underscores the need for firms to thoughtfully develop clear policies to supervise and manage usage, content and engagement.

Thinking of working for a family office? First look under the hood – and into the mirror.

Pacific Investment Management Co.’s William Gross, the billionaire who runs the world’s largest mutual fund, is re-jiggering family investments in Pimco bond funds that have been beaten down by rising interest rates.

Municipal bond investors, spooked that interest rates' climb from record lows is accelerating, continue to pull money from the market in record-breaking droves.

Our current cover story in the magazine focuses on the state of the third-party marketers in the bank channel. One aspect of the industry that we were not able to include is a ranking of these broker-dealers by AUM. So we list them here for your perusal.

Are you looking to improve your relationships with colleagues and clients? Check out five simple steps from recruiter and consultant Rick Rummage.

Financial advisors are concentrating too much of their resources on baby boomers and not enough on the next generation of clients, suggests a new report from Cerulli Associates.

Two U.S. Senate aides nominated to join the Securities and Exchange Commission will get a confirmation hearing before the Senate Banking Committee on June 27, according to a Senate announcement today.

It’s common knowledge that Americans aren’t saving enough for retirement. But just how large a deficit is startling.