Practice management

The Financial Industry Regulatory Authority has censured Citigroup Global Markets after finding the financial services firm failed to report transactions promptly to its Trade Reporting and Compliance Engine.

The holidays are a great time to show your clients that you appreciate them and their business. If this is done well, it strengthens client relationships, helping with both retention and referrals.

While wealth management firms have increased communications in the wake of the financial crisis, their clients complain they don’t understand what they’re being given.

According to a survey, nearly half restored matches, increased participation.

From hot air balloons to bagels, 2010 proved to be yet another year in which states and municipalities passed some strange tax laws in a desperate bid to raise revenues and close their budget gaps.

The key takeaway from 2011 will be the gap in economic performance between the developed and emerging economies, said Bank of America Merrill Lynch at its 2011 Year Ahead breakfast in New York City on Tuesday.

While lavish recruitment packages are becoming the norm for Wall Street, all that glitters is not gold.

Anticipated declines range from 5% to as much as 50%.

If Mitchell Glassman visited your town sometime in the past 35 years, it probably wasn't for a good reason. The FDIC veteran has been involved in nearly 1,000 takeovers.

John Bouchard, Saundra F. Albrite-Bouchard and Julie-Anne Lewis represent the first team of financial advisors to join Washington Wealth, which Tony Sirianni and Ross Wilkinson launched earlier this month.

According to a study by ING Retirement Research, investors who work with a a financial professional report saving significantly more for retirement.

The New Jersey consulting firm hopes to hire two more full-time consultants in the next year, as she focuses on growing the consulting services for independent advisors.

The platform, which allows clients to obtain two-way dealable prices and execute trades live or with delta exchange, is a component of BofA Merrill’s overall eFX offering.

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.