Practice management

The Securities and Exchange Commission has voted unanimously to propose rules under the JOBS Act allowing companies to offer and sell securities through crowdfunding.

A renewed federal emphasis on financial literacy education could have an ancillary payoff for the financial planning profession: more new planners.

Clients often walk in the door with an idea about how they’d like to leave their assets. It’s an advisor’s job to help them understand issues they may not have considered.

Job insecurity has focused attention on the need for emergency cash.

With recent changes in marital laws, more gay couples are seeking the counsel of financial advisors to help them navigate the complex legal and financial landscape that comes with being in a same-sex partnership.

A former UBS AG banker surrendered to U.S. authorities to face a 2011 indictment that he conspired to help wealthy Americans evade taxes by hiding accounts in a smaller Swiss regional bank.

Almost three in four millionaires (73%) and almost as many mass-affluent investors (72%) reported being satisfied, up from 72% and 69%, respectively, last year.

Three investment advisory firms have been sanctioned by the SEC for repeatedly ignoring problems with their compliance programs.

Clients’ desire for principal protection plus profit potential has benchmark-based products booming.

The U.S. Securities and Exchange Commission voted unanimously to seek comment on a proposal to allow businesses to sell ownership stakes in their companies by soliciting investors over the Internet.

Warren Buffett’s holding company regained its ranking as the favorite stock pick among U.S. and Canadian multimillionaires, beating Apple and fending off the increasing preference for exchange-traded funds.

A great website isn’t so great if no one uses it. On the other hand, if your site is easy to use, it can be your most powerful marketing tool – generating leads, prospects and new clients.

Morgan Stanley picked up two former UBS advisors with a combined $3 million in production.

Financial advisors who specialize manage nearly double the client assets of their peers, according to a study of 7,000 advisors conducted by research firm Cerulli Associates.

At a panel at the national FPA conference, as well as in a new report from top study group aRIA, advisory firm executives spill their best human capital tips.

As retail funds for alternative investments become more widespread, planners must explain their purpose in a portfolio.

A former Merrill Lynch broker has been ordered to serve 38 months for allegedly bilking clients of almost $2 million.

Citing concerns, FINRA says it may make it harder for advisors to get records cleared.

CEO Jamie Dimon went to Washington almost a month ago to see if U.S. Attorney General Eric Holder would settle a criminal probe of mortgage fraud at the bank if it paid more money to resolve related civil investigations.

In a highly competitive industry, one of the most common questions advisors face is: How do I differentiate myself? Here are twelve steps to help you stand out from the competition.