Practice management

Many advisors base their product choices on the quality of information asset managers provide online.

U.S Trust hired nine senior wealth management experts to their California, Arizona and Washington operations as part of their wealth management expansion efforts.

When the European Markets in Financial Services Directive was adopted three years ago, fund managers appeared content. After all, more competition in markets would mean their broker-dealers would get a "better deal" for their firms and their clients.

The Treasury Department unexpectedly announced it would not pick Julie Williams, the No. 2 at the OCC, to serve as acting head of the agency when John Dugan leaves next month.

The SEC follows up its proposal to whittle down 12b-1 fees with a plan to remake the Form ADV, Part 2. Emphasis on Plain English is back.

For as much press as the recent financial reform bill has received, the majority of financial advisors apparently are unaware of its importance.

Trades were made in UITs, closed-end and mutual funds by two Maryland brokers on behalf of 10 customers, FINRA charges.

Hedge fund firm Tiger Management LLC has tapped the expertise of a former Goldman Sachs executive to help run its operations.

As federal regulators begin implementing regulatory reform, at least one agency plans to step up its disclosure of private meetings with industry insiders.

President Obama's signing of regulatory reform legislation Wednesday signaled the official end of a hard-fought legislative battle but just the beginning of the tougher task of implementing the new law.

The Securities and Exchange Commission voted unanimously on Wednesday to propose limits on mutual fund distribution fees and provide more transparency for investors.

One in four financial advisors expect clients to increase charitable giving to offset anticipated tax hikes, but only 52% of advisors proactively offer charitable planning advice to their clients, according to a survey released Wednesday by the Fidelity Charitable Gift Fund.

The regulator said the company made negligent misrepresentations related to subprime securitizations.

RBC Wealth Management recruited Kevin Williams to serve as a senior vice president and branch director of its Richmond office.

Rising tuition fees and the uncertain state of the economy are causing more people to put their own retirement savings ahead of their children’s college education.

The Securities and Exchange Commission is considering holding five field hearings between September and January as part of a nationwide inquiry on the municipal market that is expected to lead to recommendations for statutory and regulatory changes to better protect investors.

New authority granted to the Federal Reserve by the Dodd-Frank Act embodies a significant change in the thinking about, and approach to, functional oversight.

In five years as comptroller of the currency, John Dugan did not draw the limelight shined on other regulators. But as he gets ready to depart, there is no shortage of opinions on his tenure.

The company has snatched two more advisors from Morgan Stanley Smith Barney.

No fund manager likes to fail in his or her trading strategies. It's bad for business.