Practice management

It doesn't have to be long, but your annual business plan should be on paper. Here's why advisors should write out their plan each year -- and what they should include.

It's critical for advisors to educate clients about potential scams and if possible, put themselves between seniors and possible fraudsters.

Clients who are considering taking student loans should compare the interest rates with their investment returns before making a decision; Plus, how Americans are missing out on $24 billion a year.

Two veterans left the wirehouse this week for different firms, including Janney Montgomery Scott.

Aging parents could alleviate stress and possible tension if they share their final wishes with their children -- or at the very least, where their accounts are held.

Most advisors know they should deliver great service. But making it happen is a different story. Use these ideas to upgrade the experience you offer.

The Internal Revenue Service’s Criminal Investigation division has created a cybercrime unit to combat the growing trend of identity theft-related tax fraud as the problem morphs into data breaches and becomes more international in scope.

Clients who intend to stay in their homes after they retire should consider changes like open floor plans and wider doors to accommodate wheelchairs and walkers; Plus, small businesses now have no excuse for lousy retirement plans.

The National Adjudicatory Council, which provides guidance to FINRA adjudicators, goes after fraudulent conduct with heightened sanctions.

Authorities allege that two self-proclaimed "licensed retirement strategists" made false claims in order to resell $4.3 million in life insurance policies to clients.

Vanguard, BlackRock executives argue that regulators considering bank-like oversight of mutual funds are misreading the industry and inviting unintended consequences.

Four advisors made the move between the wirehouses.

Two advisors left the wirehouse where they generated more than $1.1 million in annual revenues.

Bryan Carnahan, a former advisor at Huntington Bank, allegedly stole nearly $170,000 from a customer's brokerage account to cover investment losses in other customers' accounts.

For pre-retirees who have not saved quite enough it's especially important to establish a plan to pay off credit card debt; Plus, proposals to improve workers' access to retirement plans first need a unified contribution limit.

Many potential clients don't understand how a good advisor can help them meet their financial goals. These key questions can lay a foundation for a relationship.

The investment industry has an age discrimination problem, and millennials and Generation X are bearing the brunt of it.

An upcoming forum for regulators and industry professionals will discuss the SEC’s compliance oversight, cybersecurity, anti-money laundering, and approaches to supervision and sales practices.

The Department of Housing and Urban Development has revamped the rules on reverse mortgages to allow the servicer to foreclose the home mortgage if the account holder dies and the home is left to a non-borrowing spouse; Plus, five ways to talk to parents about their retirement income.

Competitors from traditional and digital sectors of wealth management weighed in on the debate over industry disruption at the LinkedIn FinanceConnect conference in New York.