Practice management

Chris Brewster joined the firm as non-producing manager of the Columbus, Ohio office, which has 10 financial advisors and 27 associates.

The Securities and Exchange Commission reportedly is seeking documents from the Massachusetts’ Treasury Department in reference to its relationship with Goldman, Sachs & Co.

The Obama administration will not make its Jan. 31st deadline for proposing reforms to the government-sponsored enterprises, an administration official said Monday.

The SEC’s recommendation didn’t lay out a timeline or a framework, but now the ball is in motion, observers say.

The much-anticipated study found that many investors are confused about the roles of brokers and advisors and are unsure of their protections when they receive advice. The study recommended a new standard would simplify the client experience.

The number of securities lawsuits filed in 2010 increased, despite a drop in new suits related to the credit crisis, according to a new report.

Public speaking is a skill that every advisor must master to be successful in a media-rich society.

According to an internal memo released late Thursday, the company is restructuring the unit into five areas.

The Securities and Exchange Commission charged three New York-based investment firms and four former senior officers with fraud, misuse of client assets and other securities laws violations, when they masked financial troubles within their $66 million advisory business.

We call this the "financial planning profession," right? So here's a topic for discussion: how is it that many people calling themselves a financial planner don't actually do financial planning work for their clients?

Commission says FINRA is Congress’ best bet for policing advisors.

UBS plans to hold its branch managers and complex directors to stricter standards for individual measurements for their bonuses in the coming year.

A greater number of U.S. households are at risk of falling short of money in retirement because of the housing and financial crisis, according to a report by EBRI.

Four came from UBS, two from independent shop Ingalls & Snyder, one from Chase Investment Services.

The Financial Industry Regulatory Authority has censured and fined Merrill Lynch, Pierce, Fenner & Smith Inc. $500,000 for failing to establish and maintain written supervisory procedures to ensure that its representatives considered customers’ state income-tax benefits in their suitability analyses of 529 college saving plans.

Most regulations already cover financial planning activities, but designations need another look.

The raft of documents released Tuesday by the Financial Stability Oversight Council gave little sense of what the final regulations would look like for implementing the Volcker Rule, identifying systematically important nonbanks or dealing with other issues involved in Wall Street reform.

The SEC has fined BNY Mellon $24 million and has banned a former manager of institutional trading at Mellon Securities from associating with any broker dealer firm after carrying out what it called an “eight-year best execution fraud.”

Banks are still juggling how best to use social media to communicate to customers — especially when other systems go down.

Men and women have distinct approaches to financial management, according to a new survey from Charles Schwab.