Practice management

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.

Bank of America Merrill Lynch is set to pay $2.5 million in restitution and fines after failing to provide discounts to customers on a certain type of redeemable security, the brokerage industry's primary regulator said on Wednesday.

Due to the current complexities surrounding various investment vehicles and their increased due diligence provisions, endowments and foundations are mulling over the possibility to implement an outsourced CIO model, a new SEI study claims.

The Securities and Exchange Commission is asking the Town of West Warwick, R.I. to fork over documents relating to its pension board’s previous actions.

High-frequency traders are “market jackals” and not market makers, in increasingly electronic markets, JonesTrading Institutional Services said in a White Paper released Tuesday.

Most prefer self-directed investing rather than "expensive" advisors, according to Spectrem Group.

The Financial Industry Regulatory Authority has fined three firms $242,500 for municipal rules violations. They include $150,000 against Raymond James Financial Services for supervisory failures related to so-called 529 college savings plans it sold to clients.

The Financial Industry Regulatory Authority is being told by some compliance and financial reporting experts that its proposed requirement for broker-dealers to cough up more detailed and frequent financial reports could be too cumbersome and costly to follow.

Forty-two percent of 111,731 CFA candidates that took the exam passed in June.

Independent member firms of FINRA have landed seats on the regulator’s board.

"Hard Wired" program is designed to help advisors understand client behavior, construct portfolios and build their firms.