Practice management

SEC Chairman Mary Jo White said the agency will review corporate disclosure rules to root out requirements that may be causing “information overload” for investors.

Hector Sants, head of compliance and government, is to take a temporary leave of absence because of “exhaustion and stress” less than a year into the job.

Advisors at NAPFA describe how they’re working remotely with a majority of their clients. “More and more clients will expect this kind of service,” they say.

With markets moving swiftly, advisors sometimes rebalance more than once a year.

Here’s how to build a diversified portfolio with just a few low-cost funds. It’s the ultimate conclusion from Modern Portfolio Theory.

Because excess capital losses can be carried forward to future tax returns, with no expiration date, clients can use this “bank” of losses to offset future net capital gains.

The board voted Thursday to adopt two attestation standards pertaining to audits of brokers and dealers, along with an auditing standard for broker-dealer audits.

President Obama and House GOP leaders were moving toward an agreement to extend the nation’s borrowing authority as they remained at odds over terms for ending the partial government shutdown.

Educators say they expect full explanation and transparency.

Advisor network Northstar Wealth Partners added two new advisors managing a combined $800 million in client assets with the help of its independent broker-dealer.

NAPFA’s new leaders are stressing new initiatives to expand the organization’s education programs and its membership.

The crisis represents a call for advisors to offer the one thing most individual investors can't provide for themselves: an objective, experienced and unemotional perspective, unclouded by fear and based instead upon short- and long-term goals.

The firm picked up five advisors with almost $450 million in assets under management.

But congressional politics are likely to put changes on hold for now, expert tells NAPFA conference.

Janet Yellen is expected to take a more hands-on role in bank regulation than her predecessors if she is confirmed to be the next chairman of the Federal Reserve Board.

Clients turned the tables on advisors Wednesday afternoon -- giving advice to the attendees at NAPFA’s fall conference in Philadelphia, rather than receiving it.

Investors chase performance because it feels good, but pain is a good sign we are helping our clients invest well.

In the latest deal for Focus Financial Firm, Boston-based RIA expands footprint, sees more acquisitions ahead.

A recent round of hires includes one Wells Fargo advisor with over $1 billion in assets under management.

The firm was praised for its client marketing materials at the annual Retirement Income Industry Association conference. Allianz and Principal were also honored.