Practice management

Social media compliance is a subject that elicits a range of reactions from planners, from groans to cautious, curious questions. But Leia Farmer, the deputy chief compliance officer at Securities America, isn't afraid.

Fortigent, whose 90 advisory firm clients oversee more than $50 billion in high-net-worth assets, shores up LPL Financial’s growing share of high-net-worth business.

The multi-million dollar lawsuit that Trust Company of the West brought against former star portfolio manager Jeffrey Gundlach, who TCW fired in 2009 but who then formed his own, competing firm, DoubleLine Capital, has been settled out of court.

As one advisor found, planners need to know how to do much more than build wealth for their clients.

You never know what to expect. But events of 2011 gave plenty of clues for what lies ahead in 2012, as trading firms and exchanges speed up and beef up.

Marketing expert Marie Swift says events can be a great way to help enhance relationships with current clients, position yourself in front of qualified prospects, and build important mutually beneficial relationships with centers of influence.

Active and automatic ways to keep your new prospect pipeline flowing all the time.

Trading on the New York Stock Exchange in the common stock of the parent company of American Airlines will be halted after next Wednesday.

The principle behind the annual gift tax exclusion is to shelter gifts commonly made on birthdays, holidays, weddings and other special occasions. However, many high-net-worth individuals may also utilize the annual gift tax exclusion as a strategy to mitigate the impact of future estate taxes.

From Deutsche Boerse trying to acquire NYSE Euronext to the 10-microsecond trading cycle, here are the Top 10 Stories of 2011 affecting the technology and operations of capital markets as measured—in large part—by your viewership.

Credit Suisse Securities has been fined $1.75 million by FINRA for failing to properly supervise short-selling activity.

Here's an interactive slideshow detailing 12 frightening facts that Baby Boomers and their financial advisors need to appreciate and address in the coming year to ensure they're properly prepared for the retirement they've always envisioned.

Federated Investors has reached an agreement to acquire Prime Rate Capital Management of London, a specialist in cash management and fixed income products.

This week, marketing expert Marie Swift examines some of the best ways financial advisors can get face time with their clients and qualified prospects.

Financial planners who work with households with $1 million in investable assets say the rule makes sense.

The population may be aging, but that hasn’t gotten a lot of Americans to plan for retirement. About 71% of Americans lack a formal investment plan to help them reach their retirement goals, according to one study.

Total retirement assets fell to $17 trillion by the end of the third quarter, down 7.5% from the record high of $18.4 trillion that investors socked away in the prior quarter. The decline corresponded with a 13.9% drop in the S&P 500 during the third quarter.

A FINRA arbitration panel slapped a former Bank of America Merrill Lynch financial advisor – now with U.S. Bancorp Investments – with an injunction that will prohibit him from soliciting his former clients until October 2012.

After a decade marked by two severe bear markets, 401(k) investors have adopted a more balanced approach to their portfolios, according to a report from the Investment Company Institute and the Employee Benefit Research Institute.

Federal regulators unveiled a highly-anticipated proposal that details how they plan to regulate the largest domestic financial firms, including new capital and liquidity requirements.