Practice management

Women describe themselves as more conservative investors who favor socially and environmentally responsible investments

Rex Staples’ securities enforcement experience and his background in securities law will be “a great asset” to the CFP Board, said Kevin Keller, the board’s CEO.

The "mass affluent" service of Bank of America has launched "co-browsing" and speech analytics projects to improve the interactive experiences of clients of its 750 financial advisors in call centers and 600 in banking centers.

California-based investment advisor James Michael Murray allegedly defrauded investors using a bogus report from a fictitious auditing firm to embellish the performance of a hedge fund, according to the SEC.

ING has released a new mobile application that allows ING retirement plan participants to access and manage their retirement plan account information in transit.

Private company share trader SharesPost and its chief executive, Greg Brogger, have agreed to pay penalties, of $80,000 and $20,000 respectively, to settle charges that the firm facilitated securities transactions without registering with the SEC as a broker-dealer.

Financial Planning Senior Editor Donna Mitchell says there are a litany of business models and management options available outside the structured walls of wirehouse firms.

CME Group said it will start offering “one-pot” margining of positions in interest-rate swaps and futures, beginning May 7.

Investment education company FiPath has hired Michael Turgeon as managing director of Advisor Services. His primary responsibility will be launching enterprise sales and marketing initiatives for the company’s marketing tool for financial advisors, FiPath for Advisors.

Clients of RidgeWorth Investments will now be able to access a variety of functions and data from their investment accounts thanks to a new application available for the iPad.

So you want to tap into the global markets and find new opportunities for growth? But before you do that, you need to get re-acquainted with the new IRS requirements for reporting the basis of the cost you ascribe to a security or fund you purchase.

Nearly one out of four pension plan participants invest solely in target-date funds, according to new research released from The Vanguard Group—a six-fold increase over the past five years. Further, adoption of these funds among new plan participants is even higher, with 64% of employees entering plan for the first time with a single target-date fund.

Securities regulators charged two Ameriprise Financial advisors and three others with insider-trading, saying they made $1.8 million in illicit profits based on confidential merger information one of the advisors learned through an Alcoholics Anonymous relationship.

FINRA developed a more robust market surveillance and whistleblower group. And the regulator recently imposed rules that require firms to report violations.

Marketing expert Marie Swift offers up some tips for advisors looking to restore their creativity, intuition and communications skills.

More than half of those surveyed have investable assets of less than $25,000.

Ahead of yesterday’s Women Advisors Forum in Boca Raton, Fla., we caught up with Eleanor Blayney, president of Directions for Women, on why attracting female clients is crucial.

Even the best-laid retirement plan can come unraveled if clients and their advisors aren’t proactive about setting reasonable spending limits and sticking to them. Here’s an interactive slide show detailing nine ways advisors can keep their clients from overspending throughout their retirements.

A senior Prudential executive is calling upon the government to promote the development of multiple employer plans, which allows many small employers to pool their resources together under a single defined contribution plan.

Morgan Stanley said it has placed broker David S. Walker on leave, after prosecutors said a 44-year-old mother of four accused of running a brothel had visited the firm to discuss an online prostitution venture.