Practice management

George Canellos, who played a key role in the SEC's efforts to punish misconduct related to the 2008 financial crisis, is leaving the agency after more than four years.

Boeing Co.’s long-term production plans for its new 777X aircraft and three other jets are at stake in a showdown with its largest union that pits worker pensions against the planemaker’s appetite for risk.

The Illinois State Employees Association Retirees sued state officials and retirement systems to block a plan that reduces pension benefits to fix a $100 billion shortfall.

Companies that stuck by their defined-benefit pension plans through the difficult years appear unlikely to seek to disband the benefit. One exception, however, is Boeing, which wants to convert its pension plan to a 401(k)-style retirement program.

Brokers selling higher-fee investments like non-traded real-estate investment trusts and derivative-backed structured notes may get more scrutiny this year after those markets grew in 2013.

Regulators are hoping to release an interim final rule next week designed to satisfy banker demands to change a provision of the Volcker Rule that threatens to force smaller institutions to take millions of dollars in write-offs.

FINRA has identified the suitability of the bonds of distressed municipalities for investors, as well as municipal advisor activity, as areas it will focus on in 2014.

Younger millennials carry half the debt of their older peers.

The legal battle over the application of the Volcker Rule is unlikely to be resolved until mid-January.

Most working-age people in the U.S. and worldwide who expect an inheritance think it will fund all or part of their retirement.

After a blog post suggested tweaks to modern portfolio theory, advisors and other professionals voiced moderated support for the investing philosophy.

A new advisory firm plans to build its business by buying the practices of retiring advisors.

Morgan Stanley said ex-broker Wilhelm Nash left before earning out bonus.

Women advisors have larger client accounts and price more consistently.

Advisors need to coax their clients to start a dialogue now.

Clients are wary of working with young advisors. Here's how to win them over.

A run-down of this week's issue, which features the list of top 40 advisors under the age of 40.

Here's what it takes to find and keep high net worth clients.

One planner gained expertise handling her own family's needs - then offered that knowledge to other advisors.

A revised chart helps explain returns and highlights the greatest challenges for diversified investors.