Practice management

The Securities and Exchange Commission announced Monday that Christopher R. Conte is set to step down from his post next month after 18 years at the regulator.

PNC is betting that its Virtual Wallet account, which has always focused on teaching consumers to be better savers, can also teach them to be better spenders.

The SEC announced Monday the appointment of John Ramsay as the new deputy director in the division of Trading and Markets.

The securities industry regulator fined a Zions Bancorp unit $225,000 for failing to disclose a potential conflict of interest in online auctions for certificates of deposit.

Because women live longer, require more care and tend to be the primary caregivers in their families, long term care falls disproportionately on their shoulders. Yet according to a recent survey by Genworth Financial women face challenges talking to their families about putting together a financial strategy to deal with long term care.

On Wednesday Adhesion Wealth Advisor Solutions announced it improved its WealthADV technology platform to provide more ways for investment advisors to communicate with clients. The newest development: clients can now check their portfolios and performance reports with the iPad as well as most Mac and Microsoft Windows-based devices.

The Securities and Exchange Commission has given money market funds a reprieve from following an amendment to money market fund regulations requiring allowing them to approve of the credit rating agencies they must use to determine whether a security is eligible for investment.

The Boston company said Tuesday it is introducing new Retirement Choices target-date portfolios, which are designed to take participants “to” retirement and accommodate the participant who wishes to select another investment strategy at the time of retirement.

Initiative is first stage in the organization’s Lifelong Financial Strategies drive.

Wyser-Pratte Management, a New York-based fund manager and corporate raider, claims Broadridge Financial Solutions and French media giant Lagardere may have lost shares voted in favor of its proposals during an April proxy contest.

In the Senate for decades, Banking Committee Chairman Chris Dodd found passing regulatory reform to be one of his toughest challenges. In an extensive interview, he relives key moments, responds to criticism of the bill, and reflects on his own disappointments with the final law.

Consistency is key to a successful outreach strategy, consultant says.

A day after New Jersey settled securities fraud charges with the Securities and Exchange Commission for failing to disclose to bond investors that it was underfunding its two largest pension plans, offering documents for the state's record $2.25 billion short-term tax and revenue anticipation note deal included several pages of disclosures about the woefully underfunded retirement plans.

New report says insurers need to make accommodations for social media on business and IT roadmaps.

The Federal Reserve Board, the sole bank holding company regulator for decades, is about to experience a pretty new concept: a teammate.

The Securities and Exchange Commission (SEC) is slated to make a decision on whether it will update a roughly 30-year old set of proxy and investor shareholder rules at a meeting next Wednesday.

The regulator sanctioned the banking company for unethical CMO sales practices.

An increase in medical costs is forcing Americans to rethink their savings priorities, with many choosing to pour more money into monthly retirement savings, The First Command Financial Behaviors Index revealed.

As many as 31 states could see their pension plan assets dry up by 2030, this according to a new study from the Kellogg School of Management at Northwestern University.

Two day traders have been arrested by Norwegian police for allegedly cracking an algorithm of US brokerage firm Timber Hill. The traders were purpoted be trying to manipulate the stock prices of three companies listed on the Oslo Stock Exchange.