Practice management

Poll of more than 200 financial advisors finds serious investor angst about their retirement prospects and apprehension about making the investments necessary to improve their outlook.

Even after an embarrassing online porn scandal rocked the regulatory agency last year, a new report from SEC Inspector General David Kotz finds some staffers are still going to great lengths to access these racy sites on company time.

The technology division of NYSE Euronext said its Capital Markets Community Platform will provide direct, on-demand access to high-performance, low-latency services from NYSE Technologies, including its Superfeed of market data, its Risk Management Gateway, its Managed Services Hub, and its global Liquidity Center Network.

An annual global wealth report from Boston Consulting Group finds that millionaire households hold 39% of the world's total net worth but account for only 0.9% of all households.

Leaders who focus on employees' best attributes reap the greatest rewards.

New rules will make it possible for financial fraud tipsters to pocket a bounty of up to 30% of any recovery or sanctions of more than $1 million and provides new protections from employers.

ING Direct's customers now have one more hoop to jump through to use a personal financial management site. ING isn't apologizing for the inconvenience, and perhaps counterintuitively, PFM providers see no reason ING should.

The Financial Industry Regulatory Authority has ramped up its efforts to detect fraud and better work with investors and firms, its management team said on a panel Wednesday.

The shareholders approved a $5.7 million package for Casady, which included an $800,000 salary, $2.2 million bonus and option awards of $2.6 million.

New ABA chief Frank Keating is a delegator who relishes political networking. In other words, he's nothing like Ed Yingling, the group's former CEO, who could pretty much do ...

It turns out the merely comfortable are expecting better performance from the economy and their individual investments through the remainder of the year than those residing in highest tax brackets.

Morgan Stanley Smith Barney made the inevitable official by allowing a test group of 600 wealth management advisors to use Twitter in a limited capacity to connect and interact with clients and prospective new clients.

The Securities and Exchange Commission Wednesday adopted rules that could reward individuals who blow the whistle on illegal activity in securities markets, with bounties on successful prosecutions where sanctions exceed $1 million.

Fidelity fielded a study that found 75% of the broker-dealer and registered investment advisory firms are planning to hire up to 30% more employees over the next 12 months.

After navigating their portfolios through some very difficult investment waters in recent years many ultra high net worth investors are now adopting a more laissez-faire approach to their investments, leaving the day-to-day details to their financial advisors.

FINRA Chief Executive Richard Ketchum said firms need to have strong internal vigilance as the self-regulatory organization plans to step up its examination processes.

And many are distrustful of unscrupulous financial services and insurance companies.

The atmosphere at the hearing reflected how polarizing a figure Warren has become, being portrayed either as a symbol of overreaching government or a defender of the consumer.

Now that Bank of America has bought itself out of a massive class action over the sorting of overdraft fees, its fellow banks need to decide if they hold an advantage that B of A did not.

The broker industry’s chief regulator said Tuesday that its examiners will spend more time on “open-ended thematic reviews” that can identify where controls on financial risks break down.