Practice management

The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen.

With more than $23 trillion in high-net-worth investor assets still held outside of the industry, advisors still have "a huge opportunity," says Jonathan Beatty of Schwab Advisor Services.

An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention."

Women over the age of 65 are twice as likely as men to live in poverty in retirement because of lower wages, more time spent out of the workforce and lack of access to retirement savings plans.

Will the trickle of advisors leaving Barclays for rival firms turn into a flood?

Ways your elderly clients can avoid becoming the victim of a scam; plus, what you need to know about Social Security benefits and what to do if your clients' 401(k) stinks.

The advisor managed nearly half a billion dollars in client assets while at Barclays.

The key to success for young adults struggling to build wealth in the aftermath of the biggest economic downturn since the Great Depression may come down to a familiar bit of advice: Mind your elders.

A senior Labor Department official says his team is amenable to tweaks in the proposed rules so long as the fiduciary relationship is formalized with the client.

How clients might benefit from putting a hold on certain retirement strategies; plus, tailoring retirement plans to small businesses and tips to reduce all that IRA paperwork.

The most important investment a wealth management firm can make is in its people. To thrive over the long term, firms must be able to attract and land great talent.

Regulators say that as threats continue to mount, they are expecting more formal policies and procedures from the firms they examine.

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.

Regulators have cracked down on LPL advisors in Massachusetts for using terms like "Retirement Specialist" and "Retirement Income Planning Specialist" -- while its planners use them elsewhere.

Two UBS advisors left the Swiss-owned wirehouse to rejoin Merrill Lynch.

How policy makers should address the growing state-run pension shortfall; plus, why the last check your client writes should bounce before they die and tips for clients to retire early without giving up what they love.

Head of industry group lobbying against the Labor Department's proposal is hopeful that the final regulation will address compliance objections and expand permissible transactions.

Advisors failed to win FINRA arbitration case for compensatory damages in excess of $5 million for a number of grievances.

Only 22% of affluent investors say they are familiar with what a robo advisor is, according to a new poll.

A man accused of being part of an insider-trading scheme, and whose alleged co-conspirators include an ex-Morgan Stanley broker, will avoid paying a fine in settle SEC claims.