Practice management

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.

If you want to know what the outlook will look like for 2011 look back at 2010, said Jeffrey Kleintop of LPL Financial in his opening remarks at the IMCA Practice Management Conference in Vail, Colorado on Monday.

Tech guru Kip Gregory offers his guidance to take advisors the next level.

Says it creates a more bureaucratic government, rather than a nimble, forward-looking one.

The trustee seeking to recover funds lost in the Bernard Madoff securities fraud Sunday sought $9 billion from international banking firm HSBC, in a bankruptcy court complaint.

As part of an initiative to expand, the New York-based wealth manager hired Michael C. Brown as a partner and director of wealth management.

The Federal Reserve Board is now leading an examination of put-back risk at the largest banks, asking institutions to include their exposure to repurchases in reports to the central bank about their capital strength.

The fees on securities transactions and on registrations of securities that fund the operations of the Securities and Exchange Commission are set to jump as much as 62 percent, once its budget for the next fiscal year are approved.