Practice management

Regardless of size, the most widely cited response to the question of whether a fund firm will cut spending on technology this year is: We won't.

The Financial Industry Regulatory Authority has ordered five firms to pay $117,425 in fines and restitution to customers for violation of municipal securities trade, pricing and supervisory rules.

The FPA and FiPath for Advisors announced a strategic partnership that will allow FPA members to access a variety of online marketing and educational tools.

The addition of The Lerner Group is the seventh advisor team to join HighTower in 2012, and the 32nd team to join the partnership since it launched.

LIMRA survey finds that three in five people who work with an advisor contribute to a retirement plan while only 38% of people doing their own financial planning invest in similar long-term investment plans.

Wireless networks, mobile devices and cloud computing have transformed the way advisors do business. How can these innovations change your business?

On eve of law's second anniversary, regulators face heavy scrutiny over how they will implement remaining Dodd-Frank rules. Many key regulations have yet to be seen.

Investment Centers of America beefs up its practice management program with newly created senior position.

When LPL Financial sought to improve its highly successful Model Wealth Portfolio platform, its advisors made a couple of requests: make it easier for us to select securities and to rebalance our client portfolios.

The head of the Financial Services Institute has delivered a pointed letter to House committee leaders criticizing the efforts of the Department of Labor in developing a new definition of the term "fiduciary" that would cover financial professionals providing advice to retirement plans.

Women’s confidence that they can successfully retire has taken a hit in the past two years, but working with a financial advisor tends to boost female investors’ outlook on their future, according to a new Prudential Financial study.

Fund managers and financial advisors are looking to the cloud to reduce costs, enhance performance, and improve accessibility, but many questions remain.

When it comes to technology, most advisors want to streamline, but they remain stuck using multiple system, according to a survey.

On a 3-2 vote, the federal regulator charged the nation's 13 exchanges and the Financial Industry Regulatory Authority to come up with a workable system for keeping track of all options and stock activity, before the start of the next trading day.

The new message focuses on a targeted approach to repealing certain provisions — rather than the whole law — and trying to convince everyday Americans they too will suffer the consequences of new rules for the financial industry.

A California Superior Court has denied an investor’s appeal of a March arbitration decision, including claims that one witness was unreasonably excluded and another witness was intimidated against testifying.

Plans that dynamically adjust for changes in both market and longevity beat more traditional methods.

Richard Ward ends a three decade-plus run at Merrill Lynch to join Stifel Nicolaus.

In a recent poll of wealthy individuals, men were thought to feel more stress if their wives were the primary financial decision-maker than women whose husbands were the financial decision-maker.

The industry veteran will be chief counsel and chief compliance and ethics officer in the in the Office of Compliance Inspections and Examinations.