Practice management

The Financial Industry Regulatory Authority Friday morning said it is seeking a Temporary Cease and Desist Order against a San Antonio brokerage that allegedly is operating a "boiler room" designed to raise money for oil and gas ventures its president runs.

It’s a good time to open up conversations about future medical expenses, especially when it comes to clients who are shy about confiding medical issues and those reluctant to purchase long term care policies.

The SEC has revoked the registration of Thrasher Capital Management in New York for not providing the company’s books and records to the regulatorin May 2009 and ignoring repeated requests to do so.

As regulators try to collaborate on new securitization rules, a fissure has emerged in bankers' own thinking on the subject.

UBS announced Thursday it hired Dave Schrohe as chief operating officer of its wealth management solutions management team.

As the economy and client demand recover, broker-dealers aim to sign up new advisors

For the first time since significant mortgage servicing problems came to light, federal regulators called on Congress Wednesday to establish national standards for the foreclosure process.

In the end, solutions must be broadly equitable in the broadest sense.

James Hertz, a former vice president and marketer in JPMorgan’s municipal derivatives group, pleaded guilty Tuesday to three criminal counts for engaging in bid-rigging and fraud conspiracies connected with guaranteed investment contracts and other municipal finance agreements, the Justice Department announced.

The London Stock Exchange Group said UBS AG became the first international bank to begin directly reporting market data usage, in real time.

The Securities and Exchange Commission’s insider trading sweep leaped across the Atlantic Ocean, with a former tax partner at Deloitte LLP charged with leaking confidential information on potential mergers to family members in London.

The Securities and Exchange Commission has set the timetable and ground rules for when and how some mid-sized investment advisors can deregister with the federal regulatory agency and be overseen by state regulators.

State Street said it will cut 5% of its work force, as it accelerates its investment in new technologies such as "private processing clouds."

Rep. Randy Neugebauer, R-Texas, is gearing up to play a leading role on the House Financial Services Committee next year — to ensure that regulators do not overstep their bounds.

Client segmentation and scheduled marketing campaigns are key to efficient communications, Dan Kraus says.

Four years after it began charging risk-based premiums, the Federal Deposit Insurance Corp. is set to revamp them again for the largest institutions.

With 266 million users in North America, the Internet and social media have become a significant part of the financial services landscape.

Bank of America Merrill Lynch introduced a gauge of risk, hedging demand and investment flows, the bank and brokerage firm said, "is designed to help investors identify market risks earlier and more accurately than commonly used risk indicators," such as the Chicago Board Options Exchange Market Volatility Index, or VIX.

In an era of low interest rates, weak loan demand and unprecedented efforts by the Federal Reserve Board to pump liquidity into the economy, the demand for Federal Home Loan Bank advances has plummeted to a 10-year low, raising questions about the system's future as the government weighs a redesign of the housing finance sector.

With the U.S. Department of Labor poised to toughen rules for consultants and advisers to retirement plans, industry practices are under a new spotlight. Some like SEI may exit the business all together.