Practice management

The new hires come from Morgan Stanley Smith Barney and Merrill Lynch

For younger employees the possibility of an enjoyable retirement is dwindling.

A few housekeeping tips before we ring in the New Year could help ensure investors are in shape for tax time and beyond.

The new slate of House Republicans picked to preside over financial services said they intend to downsize or dismantle the mandates supported by their predecessors.

Thirteen percent of affluent Americans closed at least one investment account in the last year, more than double the pace in the previous five years, according to research.

The federal regulator indicates it plans to allow the Public Company Accounting Oversight Board to take on new powers for inspecting the audits of broker-dealers.

The Financial Services Roundtable offers a common-sense guide to help American’s make the most of their long-term investment decisions and retirement planning.

Retirement benefits, specifically defined benefit programs, are critical when it comes to attracting and retaining employees.

Securities and Exchange Commission chairman Mary Schapiro said that the creation of a system for capturing all stock market data in close to real time is likely half as much as the $4 billion originally estimated.

MasterCard said its SecureCode payment verification system experienced disruptions temporarily Wednesday as part of an attack that also took out its main website by overwhelming it with high traffic.

Advisors need to do more to turn highly satisfied customers into active referrals, according to a survey.

Tracking client information is important since it becomes the basis of the marketing plan. Unfortunately, many firms don’t monitor the source of their new business and miss out on marketing opportunities.

Deutsche Bank’s fund arm goes the extra mile to promote its funds, a Corporate Insight study finds.

Where you live may have a big impact on both your emotional and financial preparation for retirement, according to survey released Tuesday by Ameriprise Financial.

The Securities and Exchange Commission said its investigation exposed "egregious" conduct in municipal investing.

Rep. Spencer Bachus was formally selected by the Republican Steering Committee on Tuesday to serve as chairman of the House Financial Services Committee next year.

The new appointments bring the company's total new advisor hires for 2010 to 50.

Advisor Michael Leanza says that “active-passive” capital preservation with upside potential is turning his wealthy clients into advocates.

Far from being partners, observers said Rep. Barney Frank and whoever the GOP picks to succeed him as Financial Services Committee chairman are likely to be at loggerheads.

If you want to grow your advisory business you’ll need to create a defined process with clear goals and ensure all of your staff are on board, said Spenser Segal of ActiFi at the IMCA conference in Vail, Colorado on Monday.