Practice management

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massive regulatory reform bill awaiting a Senate vote ignores key contributing factors, including an inefficient and outdated regulatory structure, a broken housing finance market and weak underwriting standards that spurred a wave of unaffordable mortgages.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.

An obscure provision in the regulatory reform bill adopted by the House has become a flash point in the fight over whether the legislation should spell out rules for regulators or give them wide flexibility.

Now that the economy is stabilizing and financial services firms are looking to add employees again, companies are taking the time to focus on diversifying their hiring practices.

From its inception, a key pitch for legislation to rework the regulatory system has been that it will provide regulators with more tools to prevent another banking crisis. Yet the most highlighted provisions of both the House and Senate bills would give regulators authority they already have, and so far have largely ignored.

A new study estimates that only 16 % of small businesses in the United States are using social media sites to promote themselves.

RIA buys wirehouse reps' businesses and gives them a stake in the company.

Depending on who you ask, the executive changes at the firm are either business as usual, or another indication of the Morgan Stanley culture overtaking Smith Barney.

Serving a niche market can allow you to increase your assets under management and set you apart from other advisors in your area. In the first part of this series, learn where to find a niche—and whether it can be profitable.

Millionaire investor confidence rose in March, according to Spectrem Group monthly survey, even as confidence amongst affluent investors declined.

The industry buzz was that McCann had been telling people the firm was overstaffed at headquarters.

Rep-as-advisor managed accounts have been steadily growing in popularity and will continue to do so in the short-term, but Cerulli Associates see growth dampening because of the account’s nondiscretionary nature.