Practice management

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.

The U.S. Attorney's Office for the Southern District of New York said that the former controller of accounts at Bernard L. Madoff Investment Securities pled guilty to four counts of falsifying records.

A jury for the U.S. District Court for the Southern District of New York has ruled in favor of an SEC lawsuit against a former Prudential Securities registered rep for market timing mutual funds between 2001 and 2003.

When Bank of America Merrill Lynch financial advisor Jay Fields had to do a couple of swaps on Monday morning from one security to another, he said the process was seamless thanks to a new portfolio management and trading platform.

Of all the social media sites that Aite Group followed in its study, only the use of LinkedIn grew between 2009 and 2011.

For once, it’s the whippersnappers who are behaving more wisely. At least when it comes to saving, Generation X and Generation Y workers are more diligent than their peers.

The time for watching and waiting is over. Twitter is a cultural phenomenon and more and more financial advisors are setting up Twitter profiles and testing the waters to connect with existing clients, promote their services to potential new clients and share industry news and insight with their peers. Here's what you need to know.

TJ Gilsenan, the Web Savvy Advisor, says it's time for advisors (if they haven't already) to start tweeting. Here are some tips to help you and your firm start taking advantage of this powerful social media tool.

Most couples disagree on a lot of important points when it comes to retirement planning. That lack of agreement can translate into lost financial planning business, making it important for advisors to get couples to work together, according to Fidelity Investments.

A new rule proposed by FINRA to help carrying and clearing firms transfer customer accounts if they go bust will be too cumbersome and costly to follow.