Practice management

No clarity on how regulators will decide to handle fiduciary standard proposed for broker-dealers, Schapiro said.

After your clients get their finances in order, which includes establishing an emergency fund account and maxing out their 401 (k) plans, then they can look to pay off their mortgage.

Following the success of her latest album and landing three Grammy nominations this year, the megastar's net worth is in the untold millions. With a Merrill Lynch advisor for a father, it begs the question: who is advising the pop star?

Less than half of U.S. workers last year had saved even as much as $10,000 for retirement, according to a study, but catching up is still a realistic goal.

Conrad Siegel Investment Advisors's parent company serves defined benefit and 401(K) plans. Executives at those client firms became the clients for the advisory spinoff.

The recruit takes on a new role as complex manager at the firm’s latest office in Birmingham, Ala.

Financial advisors often act as general managers for their clients, assembling a team of attorneys, trust companies and others to develop and maintain estate plans. Here are a few questions you should ask of your would-be teammates.

Two veteran wirehouse advisors joined regional broker-dealer Wunderlich.

Merrill Lynch wants to position its wealth managers to better help their clients navigate the hurdles of old age.

Two UBS advisors managing $170 million in assets joined Baird.

A proposed cap would impose a $3.4 million ceiling on retirement plans, although details are still scarce; Plus, mortgage debt threatens boomers' retirement.

Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.

Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.

"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.

The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.

Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.

A well thought-out and rehearsed response plan can be the difference between successfully containing cyberthreats and disaster, says Stephen Russell of PricewaterhouseCoopers.

The SEC has promoted former deputy director David Grim as acting director of its division of investment management.

Many clients think their workplace retirement plan is not worth it if there is no employer match contribution; Plus, how retirement plans can underestimate inflation

According to a new study, only 46% of new retirees are confident that they can afford the lifestyle they want in retirement.