Practice management

After more than two decades urging the SEC to increase regulatory oversight of financial advisors, Barbara Roper stunned many on both sides of the debate by declaring herself open to the prospect of regulation coming from a self regulatory organization, such as FINRA.

Sports spectators will likely see a bull cross their television screens this summer, and it will not be from the annual running of the bulls in Pamplona, Spain.

The SEC has conducted routine inspections of FINRA’s advertising and arbitration programs, but not as frequently as it had planned.

You can teach classes, you can advertise or you can flat-out buy new clients. But whichever strategy you take, you need to be committed because it's not easy.

How to create win/win relationships with other professionals.

Advisors need to redefine their role when it comes to wealthy families and their heirs.

The founder and president of The Client Driven Practice discusses his book, which details how to increase referrals.

The new feature will allow Putnam 401(k) plan sponsors to provide their participants with a customized estimate of future health care costs.

Ultra-high-net-worth households saw the largest amount of growth in 2011, and that segment is expected to grow at the fastest clip in the next five years at a projected compound annual growth rate of 8%, according to Boston Consulting Group’s 2012 Global Wealth Report released on Thursday.

Fidelity's latest poll offers some surprising answers: advisors are spending less time on client service and more time on risk and compliance.

61% of LGBT individuals surveyed believe they will have enough saved by the time they retire to live comfortably, while only 53% of non-LGBT members surveyed believe the same, according to a Wells Fargo survey.

LinkedIn is a great resource for wealth managers looking to interact with existing clients or find new ones. Here’s a step-by-step overview to help grow your AUM.

The hiring of Thomas Graham as a senior vice president of wealth management in Jannye's Washington, D.C. branch marks the 15th advisor to join the company this year.

Principals of RIA firms need to pay closer attention to workflow and operational issues at their firms, especially if they want to stay viable amid rising operational costs, Pershing Advisor Solutions said.

A new survey from Spectrem Group finds that affluent investors – particularly millionaires – are becoming more and more pessimistic about the U.S. economy’s erratic recovery despite the Dow Jones Industrial Average’s strong start to the year.

Steve Sanduski, The Prosperous Advisor, says financial advisors often ask him for secret tips or advice that will jump-start their business and help them grow their assets under management. Here are some of his top ideas for advisors who want to build a better future for themselves and their clients.

Charles Schwab has launched a new video series to help investors curtail impulse spending.

The Financial Services Institute issued a letter arguing an SRO modeled after FINRA is the best of all alternatives, and FINRA rebutted criticism of its cost estimates for an investment advisor regulator.

A new Amerprise study finds that far too many baby boomers are sacrificing their retirement goals and plans to help ease some of the short-term economic pain facing their children and their own parents.

A broker has consented to pay a $10,000 fine and take a suspension of 15 business days in response to allegations that he incorrectly marked trades and prevented his firm’s compliance department from accurately monitoring the transactions.