Practice management

Planners should consider hiring younger staff, and then encouraging -- or even requiring -- junior associates to study and sit for the CFP exam and complete their experience requirements, the CFP Board says.

As a FINRA task force is scheduled to review the regulator's arbitration process, critics are charging that firms are using U5 termination forms to sully advisor reputations.

Increased interest from academia in offering degree programs is the good news--but they still need many more qualified teachers.

The Canadian bank's viral YouTube clip comes as the industry struggles to use social media effectively.

RBC Wealth Management-U.S. announced Friday that it has recruited Roger Rath from Janney Montgomery Scott as a senior vice president and financial advisor for its Annapolis, Md., office.

It takes a lot of time to develop original insights and advance the public conversation around a thought. If you have the inclination, follow this plan to start the process.

Only 25% of Americans use a 401(k) plan; It's ok to use Roth IRA to help pay school loans in some cases; Why the good news for retiree health care may not last

Regulators' blunt criticism of resolution plans of the 11 most complex banks still leaves pivotal questions about how the process moves forward, including what banks must do to avoid serious consequences.

The 1% is literally rich beyond measure, depriving nations of billions in tax revenue and obscuring shifts in global inequality.

Brendan John Osweiler was barred this week for attempting to swindle an elderly customer, according to FINRA.

Fed policy and your retirement portfolio; Can you file-and-suspend at 62; Unexpected consequences of early retirement

An FA Insight study finds that RIA firms' strategic plans lack accountability, smart metrics and proactivity.

Described by authorities as a con man, an advisor with a troubled past is ordered to repay $4.2 million in restitution; will serve sentence in a medium-security prison.

Stifel Nicolaus picked up a Baird advisor managing over $170 million in assets.

The brokerage and insurance units of Compass Bank were ordered to cough up money to compensate an elderly couple for duping them into buying one too many annuities.

Wells Fargo Advisors picked up an advisor team with $300 million in client assets from Morgan Stanley.

Wall Street banks spent two years asking U.S. regulators what they should put in hypothetical bankruptcy plans to prove they aren’t “too big to fail.” The agencies broke their silence yesterday with a grade: Fail.

The SEC has approved the MSRB's proposal to simplify its rules on professional designations by limiting the activities of some dealer representatives and eliminating one of its professional designations.

President Obama became the latest policymaker to wish he could make the regulatory system simpler and more efficient. Yet there are powerful reasons why it will never happen. Here's why.

Can I do better than Social Security in investing my money; Rental income can help retirement in some cases; Getting more from your defined-benefit plan