Practice management

A key point of contention in the Senate regulatory reform bill comes down to a critical question: How much flexibility should the government have when a systemically important firm falters?

Baird Private Wealth Management, a division of Milwaukee-based Baird has not said exactly how many advisors they want to recruit from the wirehouse channel this year, but this much is clear: the Arizona market is heating up.

A key banking industry argument against the creation of a consumer protection agency — that the new division would write rules that conflict with safety and soundness standards — is shaky.

Most non-retired Americans doubt they will ever have enough money to live comfortably in retirement, according to a Gallup poll. But Allianz Life Insurance Co., offered a series of tips to help.

A little more than a year after the worst of the financial crisis, many Americans are slipping back into their old saving and spending habits, according to a new study commissioned by the online investing firm Scottrade.

Your questions answered about LinkedFA, the new FINRA compliant social media site that allows financial advisors to promote their practices.

Even though Senate Banking Committee Chairman Christopher Dodd, introduced his financial regulatory reform bill earlier this month without a key provision on the fiduciary standard, some industry observers who support a more stringent standard are cautiously optimistic that tighter reforms will be implemented.

Because Apple hasn’t even launched the iPad tablet yet and most publishers and marketing firms still don’t have completed apps, which Apple must first approve, there are many unanswered questions about how it works for readers and advertisers alike.

FINRA has flexed its enforcement muscle several times in recent days but there is still a high level of anticipation to see more regulatory oversight.

The Chicago-based executive search firm, which has a roster of real estate investment trusts, real estate managers and private equity managers, wants to expand to offer services to asset and wealth management firms.

Southwest Securities Inc. has agreed to pay $470,147 to settle charges with the Securities and Exchange Commission for violating an anti-pay-to-play rule by co-underwriting Massachusetts bond deals within two years after its former senior vice president made political contributions to state Treasurer Timothy Cahill.

President Obama's successful fight to pass health-care reform has given a bill to revamp the financial system a dramatic boost, lawmakers from both parties said Wednesday.

A new study indicates that high-net-worth individuals are relying on their own investment expertise rather than financial advisors.

Charles Schwab filed arguments in federal court in San Francisco on March 19 to try to preclude the Securities and Exchange Commission from suing it over its YieldPlus fund, which had nearly 50% of its assets in mortgage-backed securities.

In the never-ending game of musical chairs, wirehouses recruit from each other, and from UBS.

Tampa broker-dealer had been facing problems for months.

You will almost certainly need to hire new, younger advisors at some point in your career. Do you know where to look—or better yet, what to look for?

As the defined contribution model replaces the defined benefit plan as the dominant retirement savings option, State Street sees room for improvement.

Buyers of long-term-care insurance chose cheaper policies and more inflation protection in 2009, according to research from the AALTCI.

SEI is offering enhanced, online portfolio and account monitoring services for wealth managers, to help them deal with increasing regulations concerning account reviews. SEI, portfolio monitoring, Richard Kardys