Practice management

Baird has added one advisor to its Charlotte, N.C., office, and three to its Charleston, S.C., office. All four come from Morgan Stanley Smith Barney.

FSC Securities Corp., based in Atlanta has already picked up more than 50 of QA3's old reps.

The app, which can be downloaded for free from Apple's App Store, is the firm's first foray into the mobile applications arena and the cornerstone of its nascent WealthCentral Mobile strategy.

Senate Banking Committee members raised a host of concerns Thursday about the state of the financial services industry as regulators grapple with a mountain of new rules mandated by the Dodd-Frank Act.

There's a lot of passion among advisors who, I think, suspect that there will eventually be standards that don't include them.

The two marriage partners did not describe this as a ‘merger of equals.’ Deutche Borse shareholders, after all, will have 60% control. But NYSE Euronext chief executive Duncan Niederauer says it’s not a takeover. So what is it?

Senate Banking Committee Republicans worry Securities and Exchange Commission chairman Mary Schapiro and other regulators are rushing to implement rules mandated by the Dodd-Frank Act without sufficient regard to cost-benefit analyses or public comments.

There's a post-retirement crisis coming. But research indicates that the very individuals that most need guaranteed income in their lives are most resistant, according to Shlomo Benartzi, an expert in how human behavior affects the financing of human lives.

"Social media" is not just some amorphous glob of communications outlets to be employed or avoided. Here's the quick setup to get going with a strategy to use social technologies effectively.

Joseph Price, FINRA senior vice president of corporate financing and advertising regulation, told Dow Jones a second Social Networking Task Force will meet in March and more guidance will be issued by the end of the year.

The sweeping move affected financial planners in 14 states, and is the largest number of sanctions that the CFP Board has issued in three years, Dan Drummond, a CFP Board spokesman said in a telephone interview Wednesday morning.

Mobile apps and smartphones are all the rage on Main Street, but only a small minority of investors and traders are using them for their portfolios.

Republicans and Democrats sparred Tuesday over the economic impact of derivatives regulations as the House prepared for a broader fight over the budgets of agencies tasked with writing and enforcing the new rules.

An executive said that employees continue to be “grossly under prepared for retirement,” with over 82% reporting that they are not on track to meet their retirement goals.

Most projections call for financial services firms to boost tech spending this year by 5% or less. Then, there's Brad Lyman, director of technology at Matthews International Capital Management, and a more robust estimate today at the National Investment Company Service Association 2011 Conference & Expo.

An audit of financial services firms' advisor websites reveals that most have improved in a number of key categories, but most still only rank somewhere between "fair" and "good."

About 21.5% of all financial planning firms offer telecommuting as a benefit to employees, according to the 2010-11 Financial Planning Salary Survey from the FPA.

The market's heating up and banks and investment houses need new or better employees to fill their holes and more and more of them are looking outside the industry for help.

The “Who Knew” campaign showcases the firm’s four- and five-star-rated funds.

Although the estimated costs of the Troubled Asset Relief Program have fallen markedly during the past year, the Obama administration's 2012 fiscal budget said the largest banks that benefited from the bailout should still be taxed to make up any cost to the government.