Practice management

Advisors Tony Noisom and Chris Musino joined Raymond James from Wells Fargo in Coral Gables

Commissioners detail the trade that sunk the market, but won't comment on whose fault it was or what they're doing to fix the problem.

Securities and Exchange Commission Chairman Mary Schapiro said Thursday the federal regulator could possibly issue new proposed shareholder corporate governance and executive compensation reform rules “in the next few weeks."

Many pre-retirees have “no idea” when they will be able to retire.

The Securities and Exchange Commission plans to launch its new office of municipal securities by the end of October, chairman Mary Schapiro said in prepared testimony presented to the Senate Banking Committee Thursday.

The Securities and Exchange Commission charged two State Street Bank and Trust Co. employees for allegedly misleading investors about their exposure to subprime investments.

As the Financial Stability Oversight Council prepared to hold its first meeting Friday, members of the panel faced open doubts from lawmakers and others about how fast it can move and what it can accomplish.

New survey from the Employee Benefit Research Institute finds that Americans are becoming more proactive with savings

The new online tool offers state contacts directory, FAQs, and background info to aid advisors.

The Securities and Exchange Commission has quietly hired the head-hunting firm Korn/Ferry ­International to find candidates to lead a new municipal securities office that will have a higher stature within the SEC.

Doors to the first meeting of the Financial Stability Oversight Council will be closed, but rest assured improvements in the oversight of the financial services business are underway.

The unit of Royal Bank of Canada announced Wednesday it added Larry VanLaningham and Kevin Morrice to its Portland, Ore., office. Both will report to Richard Sorenson, the complex director for RBC Wealth in Portland.

If you’ve done something wrong, cooperation is key to holding onto your certified financial planner designation.

The advisor allegedly gained access and control over all the assets of an MSSB clients, a 98-year-old woman in failing health.

Kasina’s annual top 10 listing touts timely tools and portability of information as key factors for advisors.

Barclays has been expanding its U.S. wealth management operations slowly and selectively, but Tuesday added executives from UBS, JPMorgan Chase and other firms.

Following a difficult August, confidence among millionaire investors saw its largest increase in more than a year.

Putting advisors’ fate in the hands of non-industry participants is dangerous, some argue, while others say the process should be scrapped altogether.

When building the book you want, turning down prospects who aren’t a good fit can save both of you a lot of heartache down the line.

President Obama signed the Small Business Jobs Act into law on Monday, providing $12 billion in tax breaks and a $30 billion lending fund for small businesses.