Practice management

Two different interpretations of this week's historic midterm elections emerged, with both sides competing to say how the vote would impact the financial services world.

Valli Kindred and Chad Stephens together manage $170 million, from which they generated $1.7 million in production, according to the company.

The Securities and Exchange Commission Wednesday unanimously voted to ban ‘naked access’ to stock markets by unregistered entities.

Cambridge CTO will provide chief technology officer expertise for funds.

Wells added an advisor in South Carolina and another in Georgia.

These days, your reputation can be boosted or destroyed in just 140 characters.

According to the consulting firm’s findings, the deficit in pension plans sponsored by S&P 1500 companies decreased by $56 billion to $373 billion at the end of October, resulting in a funded status of 78%.

Spencer Bachus, who just months ago was seen as unlikely to assume the top spot on the House Financial Services Committee now that Republicans have won control of the House, is now the odds-on favorite.

Nick Georgis, a vice president at Charles Schwab, hosted a panel of four award winners from past and present to share their best practices to one of the most well attended sessions of the entire Schwab conference.

Before the bustle of the holiday season sweeps us all into the New Year, what should advisors do before the clock strikes midnight on Dec. 31?

The joint committee is conducting a review of the market events of May 6, 2010 and making recommendations related to market structure issues that may have contributed to the volatility, as well as disparate trading conventions and rules across various markets.

Republicans have grand ambitions for what they plan to accomplish if they, as expected, win control of the House in Tuesday's election, but their victory is more likely to lead to ...

Large U.S. retirement plan sponsors believe defined contribution plans should be mandatory, and include auto enrollment, savings escalation and employer contributions, according to a study by Northern Trust.

The looming battle over Congress is bringing investors’ macro-economic concerns to a head.

Even though small business owners have seen improvements in their businesses, they do not expect an economic rebound until the second half of 2011, according to a Business Confidence Survey released on Monday by Administaff.

The effects of the financial market meltdown from 2008 are still unfolding, as companies cut benefits and unemployment stagnates. Many women are responding by shouldering more financial responsibility in their families, which helps explain why they are so driven to learn more about their retirement finances.

“Referrals are a transfer of trust” said Julie Littlechild, President of Advisor Impact. She added, “They are an expression of everything you do with your clients.”

Build America Bond issuers could potentially go years without subsidy payments under the examination process the Internal Revenue Service is currently considering for them, bond attorneys meeting here warned last week.

While reforming the government-sponsored enterprises was always going to be a hard battle for the Obama administration, its job will be even tougher if the Republicans, as expected, win control of the House this week.

Memories of the market's collapse haunt advisors as they reposition their businesses for future growth.