Practice management

The move underscored the difficulty of implementing the Dodd-Frank regulatory reform law, which requires regulators to act independently and in concert with other agencies.

The designation’s enforcers admonish, suspend and bar advisors for transgressions that range from squalid to bizarre.

Meet the "Nevertirees": Sixty percent of wealthy individuals globally plan to never retire.

The combination of having at least three of the proposed 10 “industry” seats on its expanded board dedicated to nondealer muni advisors, along with the establishment of a council of advisors to bounce ideas off the board, will ensure that advisors are fairly regulated beginning Oct. 1, the Municipal Securities Rulemaking Board is insisting.

The company hired Donald Gershuny as a managing director and general counsel, Americas; and Peter Reynolds as a managing director and chief risk officer, Americas.

Bank of America Merrill Lynch said it is forming a Global Futures and Derivatives Clearing Services group ”in anticipation of the substantial growth in OTC derivatives clearing.”

Baird added six wealth management pros, including four advisors, to one of its Colorado office, who bring a combined $450 million in client assets.

The addition to its open technology platform expands independent advisors’ access to third-party providers

Rep. Spencer Bachus came out swinging Wednesday against speculation he may not become chairman of the House Financial Services Committee if Republicans win control of the House in the midterm elections.

Concerns about temporary restraining orders from Protocol violations are overblown.

The Swiss company plans to expand its wealth management business in South America.

Brokerage firms continue to talk a good game when it comes to social media, but few are actually doing anything about it, and that may turn out to be a mistake.

Barclays Wealth appointed David Lewis to the newly created position of managing director and head of banking, Americas.

The service will offer actionable steps that participants can take to improve savings.

Financial Executives International has written to congressional leaders criticizing President Obama’s proposal to close foreign tax credit loopholes in exchange for making the research & development tax credit permanent.

Kathleen Kennedy has joined Boston-based Columbia Management where she will head the firm’s consultant relations efforts. Her role with the asset manager is effective immediately, a Sept. 20 announcement said.

Financial Accounting Standards Board technical director Russell G. Golden has been appointed a member of the board, filling one of three vacancies on the newly expanded panel.

Even some of the commissioners who approved the proposal suggested it wasn't an ironclad obstacle to gussying up complex balance sheets.

Investment firm introduces two white papers and provides resources for independents looking to grow through acquisition.

MSSB has hired two New York City advisers that manages $250 million of client assets.