Practice management

As advisor headcount continues to shrink, Cerulli suggests a strategy that might attract newcomers to an industry that’s tough to crack.

The Securities Industry and Financial Markets Association has asked the Securities and Exchange Commission to allow the use of "flash orders" in options markets.

The FDIC will soon post bi-weekly records of closed-door meetings it holds with bankers and other stakeholders regarding regulatory reform, the agency said Thursday.

Three-quarters oppose cutting Social Security to reduce the deficit as the government program celebrates its 75th anniversary.

The proposal, which would only apply to banks supervised by the agency, said institutions should give customers the chance to opt out of overdraft programs for their checking accounts and any automated clearing house transfers, as well as monitor overdraft usage to avoid unfair consumer fees.

New survey finds baby boomers are willing to spend less now in order to live the “good life” in retirement.

The Securities and Exchange Commission is looking at such mechanisms as price collars and limits on upward or downward movements in a stock in a single day, in the wake of the May 6th "flash crash."

Congressman Richard Neal, D-Mass., has introduced legislation that would allow companies to set up automatic payroll deposit Individual Retirement Accounts, or Auto IRAs, for workers who do not have access to employer-provided qualified pension plans.

Following a June swoon dive, U.S. pension plan funded statuses proved to replete some of their diminished assets thanks to a rising equity market, which returned nearly 7% last month, a new study claims.

No one knows what housing market reform — especially the reshaping of the government-sponsored enterprises — will look like, but Wall Street certainly is paying close attention to its impact on a kee source of fee income.

Even as they begin dropping credit ratings as a supervisory source, regulators signaled Tuesday they are worried about abandoning their use altogether, suggesting that potential alternatives are not much of an improvement.

FINRA fined the financial services company for deficient conflict of interest disclosures in equity research reports and public appearances.

Fidelity says ongoing market volatility has led to increased need for advice.

A monumental shift is taking place in the mutual fund industry as wholesalers move to mobile apps for smartphones and tablet computers - en masse.

Although the Obama administration sought to avoid granting carve-outs as part of the regulatory reform bill, the final law is riddled with them.

Law curtails regulator's powers, requires radical transparency

The number of high net worth individuals in the top ten U.S. metropolitan areas jumped 17.5% in 2009, the highest growth rate in the last four years, according to the Capgemini 2010 U.S. Metro Wealth Index.

Transparency seen as reviving ABS markets.

Volatile equity markets are giving many investors a reason to sit on the sidelines. But members of Tiger 21, the peer-to-peer learning group for wealthy investors, like their stock plays and are sticking to them.

High net worth investors are integrating media devices, social media and social networking into their lives more than ever before, according to a new survey from the Institute for Private Investors (IPI). Other recent studies indicate that wealth management clients are increasingly using social media to compare notes on advisors, funds, fees, strategies and deals.