Practice management

If you’re breaking off from a larger advisory firm to go it alone, consider a specialty practice, say advisors.

Over the next 10 – 20 years, trillions of dollars’ worth of financial and non-financial assets are expected to be transferred from the boomers to their heirs. As a result, advisors must be prepared for these changes to make sure that inherited assets will remain with them.

The CFP Board “cannot justifiably act as both a regulator for continuing education providers and as a CE provider themselves,” FPA president Michael Branham said to a burst of applause Sunday at the general session of the association’s annual conference.

The brokerage added five advisors from Wells Fargo and opened three offices.

One of the most common questions people ask is: How do I differentiate myself? Here are twelve steps to help you stand out from the competition.

The typical credit union would have to increase the number of advisors it deploys by 39% to get to the same deposit coverage as community banks.

But beware, moves made in a portfolio should always take into consideration the client’s risk tolerance and long-term goals.

Commentary: San Jose Mayor Chuck Reed's campaign to amend his state’s constitution may spur movements to loosen pension protections in other states.

A judge’s ruling found the city of San Bernardino eligible to remain in Chapter 9 bankruptcy.

The SEC was handed a high-profile loss in a low-stakes case. A federal jury in Dallas yesterday rejected SEC claims that Cuban engaged in insider trading when he sold his stake in a Canadian Internet company nine years ago to avoid a $750,000 loss.

FINRA set guidelines for the first time for how banks in the U.S. should perform due diligence on brokers who sell their structured notes.

The passage last night by wide margins -- an 81-18 vote in the Democratic-led Senate, followed by a 285-144 vote in the Republican-controlled House -- allows the U.S. to avoid default and ends the shutdown that began Oct. 1 and has taken $24 billion out of the U.S. economy.

Stockbrokers routinely succeeded in erasing settlements of customer complaints from their regulatory records in the wake of 2008’s market turmoil, making it harder for investors to research the money managers, a group of plaintiffs lawyers said.

The agreement would end the 16-day-old government shutdown and extend U.S. borrowing authority, which lapses tomorrow. House Republicans today signaled that they will allow it to pass. The biggest remaining question is how quickly the agreement could become law. The first votes could be held as soon as today.

The firm must turn over internal gender-bias complaints by female workers to lawyers representing women in a lawsuit alleging the firm discriminated against them in pay and promotions.

The deal, which would bring the bank’s total settlements in the episode to more than $1 billion, may be announced as early as this week.

Advisors seeking to connect with the younger generations of wealthy households may want to consider doing things a little differently than they have for their boomer parents.

There are many ways to tilt portfolios toward small cap and value. Here are three alternatives for portfolio construction.

How can you tell whether your own goals are appropriately aggressive? Two things helped new solo advisor Dave Grant understand this.

The fiscal showdown in Washington entered its final stages as the House and Senate prepared competing plans that would end the 15-day-old government shutdown and prevent the U.S. from missing promised payments.