Practice management

A recent study indicates that taxes on the rich have declined significantly while remaining the same on the middle class. Oddly, not all wealthy people are happy about this development.

Despite the potential heavy burden that long-term care could place on many Americans during retirement, very few have actually planned for it, according to a survey by Genworth Financial.

Company expects $10 million in production within a year from the region. It also wants to enter the Rocky Mountain and Mid-Atlantic regions.

Acquisitions by independent firms gets back on track after stumbling slightly in 2009.

Assets increased 18% as more investors have started to seek out advice regarding their retirement nest egg.

Regulator calls for tracking individual loans to increase transparency of private deals.

Speaking Monday in Washington to a conference of the Council of Institutional Investors, Bair also reiterated her agency's hopes to tie a bank's compensation structure to its deposit insurance rate.

WASHINGTON — As the Senate prepares to debate regulatory reform legislation, Sen. Carl Levin is using the failed Washington Mutual Inc. as evidence that the bill's most contentious provisions are necessary.

FINRA fine grew out of blackmail attempt against the firm.

A new study predicts that the number of older Americans working longer will accelerate over the next two decades.

Though touted as a way to avert the next financial crisis, the massive regulatory reform bill awaiting a Senate vote ignores key contributing factors, including an inefficient and outdated regulatory structure, a broken housing finance market and weak underwriting standards that spurred a wave of unaffordable mortgages.

Once you’ve decided to serve a niche, how to present yourself as an expert in their field—and mean it!

Federal Reserve Board Gov. Daniel Tarullo reiterated Thursday that the Fed needs to move carefully as it unwinds its liquidity facilities to ensure it does not disrupt still-fragile markets.

A new study of high-end advisors finds that their clients are often working longer in order to hold onto their luxuries.

Brinker is the latest to advance mobile computing for advisors, but Fidelity and Securities America tread cautiously.

The Securities and Exchange Commission announced that Robert J. Keyes has been named Associate Regional Director and Chief of Regional Office Operations in the agency's New York Regional Office.

Arguing that regulators are not likely to correctly predict the next crisis, former Federal Reserve Board Chairman Alan Greenspan said Wednesday that banks must hold more capital and face higher collateral requirements.

SEC and FINRA actions mark the latest chapter in Morgan Keegan’s ill-fated bond funds saga.

Ever since the recession began, everyone from media outlets to industry gurus have deemed 401(k)s a failure. One recent study is directly disputing that argument.

The Securities and Exchange Commission has named Kathleen Griffin as the agency's first chief compliance officer in an ongoing effort to strengthen its internal compliance program.