Practice management

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.

As financial professionals grapple with a new regulatory mandate for the suitability of investment advice, a leading industry advocacy group is continuing its opposition to two key provisions of the new rules from the Financial Industry Regulatory Authority (FINRA) that took effect Monday.

Steve Wershing, "The Referral Doctor," says it’s not your people that make clients happy but what your people do. And understanding that distinction is crucial for firms that want to add and retain clients and the staff to service them.

As many wealth management firms grapple with the challenge of how to replenish an aging financial advisor population, Bank of America Merrill Lynch is increasingly turning to its own solution: grow your own.

The SEC named Norm Champ director of the agency’s division of investment management, replacing Eileen Rominger, who is retiring.

The SEC approved a pilot plan that will allow some orders to go undisplayed on the New York Stock Exchange as a way for the biggest stock trading venue to attract individual investors.

Small Sacrifices app encourages customers to channel coffee and cigarette buying habits into savings goals.

A federal appeals court struck down Goldman Sachs’ appeal of a $20.6 million arbitration award decision on Tuesday, holding up the original 2010 decision in favor of creditors of the Bayou Group.

It's easy to underestimate how important philanthropy is to clients.

An investment management firm now owned by Wells Fargo has agreed to pay $25 million to settle claims that it misled investors about the makeup of a mutual fund it once marketed.

Ken Joseph will take over the role of regional director of the examination program for the New York Offices of the SEC