Practice management

Emerging Global Advisors named former UBS Wealth Management Americas CEO Marten S. Hoekstra as its new chief executive.

SunGard Data Systems said it introduced a mechanism for tracking leaks of company information through social media. The capital markets software supplier said a new surveillance product will help organizations watch for "content that may breach internal communication and privacy policies.''

The top Democrat on a House panel that plans to hold a hearing Wednesday on “State and Municipal Debt: The Coming Crisis,” believes states and localities need to reform their pension systems, but is uncertain about whether states in severe fiscal distress should be permitted to file for bankruptcy protection.

A survey indicates that retirement income planning and management is paying big dividends for advisors who take the time to understand their clients' unique needs and opportunities.

The bear market of the last three years has forced many retirees to reevaluate, according to a study by T. Rowe Price.

Charles Slater and Bryan Nunberg both join Bank of America from Morgan Stanley.

Led by a former Morgan Stanley Smith Barney exec, the company will target family clients.

Future tools might include online training programs, sales and illustration tools and live video presentations. Could an app be far behind?

Three leading advisors, ranked in Barron’s Top 100 Independent Financial Advisors 2010 list, shared advice with other advisors attending the TD Ameritrade Institutional conference in San Diego on how they progressed to where they are today.

Nasdaq OMX Group acknowledged Saturday that a Web-based service that promised more than 10,000 directors of corporate boards that they wouldn't have to worry about their communications "being posted on the Web or landing in someone else's inbox" had "potentially" been hacked.

Some lawmakers, industry insiders and consumer advocates say a legislative role is needed to ensure rules are binding and combine various state and federal policies.

The SEC's Chairman declared Friday that the Wall Street firms it is supposed to watch and prevent from disrupting increasingly high-speed digitally driven markets spend far more on technology than the Securities and Exchange Commission has at its disposal for all its functions.

Tom Breaux and Ian James join Raymond James as financial advisors and will operate independent firm Capital Financial Group.

The Securities Industry and Financial Markets Association spells out the unintended consequences of the proposed regulation.

Why do some people excel under pressure and others don’t?

Getting to the next level is the biggest challenge for advisors. Here's a unique approach to the age-old conundrum.

One third of forty-and fifty-something women figure on withdrawing 11% to 30% each year. That’s where you come in.

The California asset manager said it agreed to pay $217 million to cover investor losses as well as a $25 million civil penalty, in a settlement with the SEC over a coding error in its risk model. The firm's chairman, Barr Rosenberg, resigned, after a probe into errors in the firm's data systems.

NYSE Euronext said that its equities trading in the U.S. and its derivatives trading worldwide were down in January, compared to a year ago. But there were bright spots, particularly compared to December.

Advisors using TD Ameritrade’s practice management program have grown their business by 19% versus those that have not have only grown 9%.