Practice management

Regulatory reform was on the top of everyone’s minds at the Women Advisors Forum in New York City on Thursday.

The announcement from Ameriprise Financial that it planned to divest Securities America set off an inevitable scramble among recruiters and the company’s advisors. So what's next?

Ken Abady, Brad Benter and Steve DeMatteo will join UBS’ San Diego office.

The level of optimism of small business owners dipped slightly this quarter, according to a new survey.

Wells Fargo Securities has hired three new public finance investment bankers as the firm seeks to expand its program nationally.

Even the most useful banking apps won't get as much play as Angry Birds. But bankers can learn from popular games and use similar technology as part of their customer interactions.

Fed Chairman Ben Bernanke broke with tradition on Wednesday, offering a rare glimpse into how the central bank conducts monetary policy, a process usually kept secret.

John Thiel will start his new position May 1, according to a company memo sent by wealth management division President Sallie Krawcheck on Wednesday.

Henry Wagner comes to UBS from Stern, Agee & Leach.

Gen X investors are more disgruntled with their advisors than any other generation and they have reason to be: those with advisors saw growth in their portfolios in 2010, but much less than their self-directed peers.

According to Spectrem Group, its Millionaire Investor Confidence Index fell nine points in April to minus-one, a neutral reading and the index’s lowest level since September. This marks the second-consecutive monthly decline for the index, following an identical nine-point decline in March.

BB&T became the latest bank to roll out a new mobile banking application, giving business and consumer customers the ability to check balances and pay bills from their Android-powered smartphones and tablet PCs.

Market participants slammed the Municipal Securities Rulemaking Board’s new draft Rule G-43 for broker’s brokers, calling it everything from irresponsible to anti-competitive.

Bank executives are sounding considerably less positive about Basel III than they did when global regulators announced final international capital and liquidity standards last year.

Independent broker-dealers and consulting firms can provide hints for what to say and omit from your posts and other social media communiqués.

The Securities and Exchange Commission said it has started enforcement proceedings against a St. Louis-based registered investment advisor and its president for using a broker-dealer to artificially inflating the prices of thinly executed stocks to report inflated performance to clients.

Workers used the money for emergencies, a Bankrate survey found.

The Great Recession significantly widened states’ pension and retiree health care funding shortfalls, the Pew Center on the States concluded in a report released Tuesday.

Obama has two options: Nominate a candidate who sparks little debate (no easy task), or make a recess appointment, a move that will further infuriate GOP opponents.

When you start putting pen to paper (or fingers to keyboard), think carefully about the words and the style you use. Every communication is an opportunity to reinforce your positioning, market your firm and your build your brand. Sometimes, dear mild-mannered financial planners, it’s okay to be bold – and even a bit (gulp!) bossy. It’s a noisy world out there. Your ads, flyers and other marketing promotions must stand out and grab attention. …