Practice management

U.S. investors are used to treating money-market mutual funds as the equivalent of a checking account. That is about to change for the riskiest of the funds.

FINRA takes more than a year to follow up an advisor's written testimony.

As the Dodd-Frank law turns four years old, policymakers appear increasingly willing to revisit a key requirement that says banks with $50 billion of assets are systemically risky.

When does a Roth IRA make sense; How early 401(k) withdrawals can affect your retirement security; Building a solid nest egg

Live online presentations can have a major impact on your ability to attract qualified prospects. Here’s how to get started.

Optimism abounds in an increasingly crowded market for servicing breakaway advisors.

Regulators have closed Eastside Commercial Bank in Conyers, Ga., the 13th institution to fail this year.

Answering these four questions will help you develop a solid strategy so you can confidently engage prospective and current clients on social media.

What to do with a 401(k) now; When a rollover is not the best idea; Planning for a stay-at-home parent

Two financial advisors have left Wells Fargo to join Raymond James Financial Services, the regional's independent broker/dealer.

Despite their smaller size, these boutique IBDs outperform on several desirable metrics.

The financial services industry and others are seeking better metrics for analyzing the economic impact of the regulatory reform law, with some saying it is hampering the recovery and having other unintended effects.

Fiduciary issues should supersede discussion of fee-only, says CFP Board's Ray Ferrara says.

Raymond James has lured away two advisors managing $100 million in client assets from UBS.

The banking industry is pushing back against a plan released this week by the Consumer Financial Protection Bureau to publicize more details about consumers' individual complaints about financial companies.

Rep. Spencer Bachus (Ala.) is the first Republican in Congress to endorse the Investment Adviser Examination Improvement Act.

Tax planning comes in many forms for retirees; Habits of successful retirement savers; Saving for the future while enjoying life now

Daugs fraudulently misused client assets "to make loans to himself to buy a luxury vacation home and refinance a rare vintage automobile," according to the SEC.

Bank of America hasn't budged from an offer to pay about $13 billion to settle federal and state probes of mortgage-backed bond sales, increasing the likelihood that prosecutors will sue the bank, according to two people with knowledge of the matter.

Figuring out your real cost of living; Investing like Warren Buffett; Why clients ignore most of your advice