Practice management

Teams need strong leaders to succeed. Are you one?

Identifying problem transactions immediately can help keep you off the witness stand.

Planners may soon have one more investment option to counsel clients about.

The regulator may make it harder for some brokers to clear their name.

Dennis Concilla, expert on the Protocol for Broker Recruiting and an attorney with Carlile Patchen & Murphy, discusses Protocol's origins, the possibility of an update, and its impact.

Clients tend to focus on the best investments they didn't invest in last year. Here's how to break them of the habit.

A run-down of the stories in this issue, including an interview with Sallie Krawcheck.

Some planners have found profits - or at least satisfaction - selling assistance or products to their peers.

Advisors now have extraordinary tax-advantaged estate plan possibilities for wealthy clients.

The CFA Institute, along with Maria Hartwig, an associate professor of psychology at the John Jay College of Criminal Justice in New York, are working on techniques to help financial professionals improve their ability to detect deception.

According to a report from consulting firm Booz & Co., more than half (51%) of the "rising mass-affluent" say they would consider using their primary bank for investing, compared with only 37% over the age of 50 who said they would.

Professional football players spend 95% of their time preparing — advisors should take a page from that playbook and beef up their referral processes.

(Bloomberg) -- Illinois legislative leaders reached a tentative agreement on fixing the worst-funded U.S. public pension system and will submit it to lawmakers for a vote Dec. 3, according to a spokesman for Senate President John Cullerton. “The Senate president will be debriefing members of his caucus in the coming days in hopes of garnering support,” Ronald Holmes said in an e-mail. …

Challenges to social media protocols by employees fired for violating them are succeeding with increasing frequency.

The top U.S. derivatives regulator gave Wall Street two months to abide by a new policy imposing Dodd-Frank Act rules on banks when they arrange trades domestically and then book them overseas.

The more your home page talks about prospects, the more they will want to explore. So stop talking about yourself and talk about what your clients are interested in – themselves and their special needs.

With my startup growing more slowly than I'd hoped, I've tried to find strategies that keep me focused and confident.

In case you missed them, here are the five most popular, well-read and shared stories of November from On Wall Street.

November's hot stories were a wide ranging lot. Check out this month’s big winners.

Recent studies have found that as people age, many lose their ability to make sound financial decisions. So what can be done to safeguard elderly clients’ hard earned assets?