Practice management

Twenty-seven percent say they are “not at all confident” they’ll have enough money, according to EBRI.

Independent financial advisors are criticizing the Municipal Securities Rulemaking Board’s draft changes to its rule on gifts and gratuities, warning they don’t go far enough to eliminate conflicts of interest.

The House Financial Services capital markets subcommittee was expected to pass as early as late Tuesday eight bills intended to jump-start reform of the government-sponsored enterprises despite efforts by Democrats to oppose the measures.

A Financial Industry Regulatory Authority hearing panel expelled a California broker-dealer from the securities industry, for failing to implement and enforce an anti-money laundering program.

Along with cool-headed holistic advice, of course, investment management is probably the most important component of a financial planning and advisory practice.

In the past, the Protocol was used to ease the ability of the big firms to recruit. Now, however, the Protocol is also being used by advisors to break away on their own, and some Wall Street firms are taking steps to prevent that and weaken the Protocol in the process.

Company officials said the enhanced platform will help its advisors build better relationships with clients and grow their books of business by using a business valuation tool developed by FP Transitions and business assessment and coaching services from practice management consultant Business Health.

Only 13% of investors surveyed said they were very confident they would have accumulated money enough by retirement to live comfortably.

The company has appointed a new complex director in Dayton, Ohio, and added four new financial advisors in Beverly Hills and San Francisco.

Certified financial planners, instructors, sponsors and those looking to become certified this week are getting their first look at the updated requirements mandated by the Certified Financial Planners Board of Standards for the organization's ethics continuing education programs.

A survey by First Command, reveals the top 10 attributes consumers seek.

51% of pre-retirees and retirees with incomes between $25,000 and $75,000 had not been contacted by any kind of retirement professional in the past 12 months.

A majority of employees are looking for more guidance from their employers regarding their workplace retirement plans and their retirement goals, according to a white paper and study released Monday by the ING Retirement Research Institute.

If you’ve tried all my tricks, and you still can't write that newsletter article or magazine column, here’s help.

Real financial planning requires a comprehensive focus on client needs, according to Kathy Stepp, principal and founder of Stepp & Rothwell, Inc. a financial advisory firm in Overland Park, Kan. To make that happen, Stepp says, her firm uses “very high ratio of us versus them.” In fact, she says, the firm has a staff-to-client ratio that is “probably unheard of in the industry.”

But only 34% have a dedicated budget.

Capitol Bancorp said its annual report that it was notified on March 30 that it would receive a subpoena from the SEC's Chicago office concerning its third-quarter reporting.

Dan Rebmann joined UBS in March after serving for almost 13 years at Merrill Lynch.

The Lifetime Income Analysis Tool boosts 401(k) contribution rate from an average of 7% to 8.6%.

Frustrated by the lack of progress with a global settlement between the 50 state attorneys general and the top mortgage servicers, federal banking regulators are expected to move forward with their own enforcement actions against 14 servicers as early as next week.