Practice management

A team that produced $3.1 million in annual revenue moved between wirehouses.

The review is likely to start with broker-dealers and their platforms; It will coincide with a second, more targeted phase of the commission's cybersecurity sweep.

Banks can "dot the i's" by focusing on investments and insurance for their customers.

One strategy to handle the risk of higher interest rates is to invest in ETFs; Plus, picking a place to retire.

Learn how to earn money through IRA rollover options; higher earners should be aware of six mistakes that could result in higher costs and taxes; plus cheaper retirement plans for small firms with help of a new tech startup?

The firm's employee channel picks up two financial planners from brokerage M.J. Whitman.

The SEC acknowledges that cybersecurity requirements vary from one practice to the next, but insists that the tone from the top is critical.

Older clients will have a harder time grasping new ideas, but they also will be more certain and confident in their decisions.

Don't emphasize the money they'll make or the firm's reputation. Focus instead on work-life balance.

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

Advisors who can bring in and work with clients, wealth strategists with tax and accounting expertise and successor CEOs are in greatest demand.

The emerging affluent may end up with more assets than their older (and wealthier) counterparts.

The 101 most popular funds for retirement savings; the importance of rebalancing portfolios to avoid moving stocks in bear markets; and how investors can put money into annuities and IRAs when a 401(K) isn't enough.

The challenges women face -- earning less and living longer on average than their male counterparts -- greatly affect how they invest and what they're looking for in a planner.

The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.

The IRS is continuing its enforcement push against refund fraud and identity theft, and today announced the top ten identity theft prosecutions for fiscal year 2014.

Tricia Denise Willis was expelled from the brokerage industry for allegedly swiping $17,400 from a bank customer.

Your affluent clients may think they can just write a check to cover college costs. They're probably wrong. Here are a few issues that parents (and grandparents) should consider.

A former branch manager is promoted to oversee 142 employees.

Advisors Patti Brennan and Judy Rubin offered tips on communicating value to new clients.