Practice management

The majority of American workers accept responsibility for financing their own retirement and are relying primarily on their 401(k) to get them there, but many lack the confidence to effectively manage their retirement savings.

To ensure that your practice is meeting the needs of female clients, create goals for working with them -- and measure your success.

A spike in the proportion of RIA-to-RIA deals in the first half of this year may signify that the advisory field is starting to come into its own.

Morgan Stanley Smith Barney and Morgan Stanley & Co. have been fined $1 million by the Financial Industry Regulatory Authority (FINRA) it was announced today.

The top U.S. derivatives regulator is poised to announce a range of potential methods for overseeing automated and high-frequency trading, according to four people with knowledge of the matter.

SEC Chairman Mary Jo White said she would push to adopt proposed automated-trading rules after system caused a three- hour halt on the Nasdaq Stock Market.

Hundreds of SEC lawyers and examiners face new obstacles to cashing in on their agency experience under an expanded ethics rule to take effect in January.

Further excitement in the saga of Detroit’s bankruptcy: Public-sector unions are challenging the city’s estimates of its pension underfunding.

Clients may be holding back simply because they don’t want to hear your answer¬—how are you supposed to deal with that?

In 2012, nearly 27% of commercial banks offered investment services, marking the first increase in over a decade.

When are you most efficient in the day? Figure it out -- and then organize your daily time management strategy with your own circadian rhythms in mind.

"This may sound sacrilegious for a planner, but I’ll admit it: I’m not a big fan of investment management," says solo advisor Dave Grant. Here's why Grant decided to use a TAMP instead.

For traditional Super OSJs to survive and prosper over the long term, they must begin to provide a more dynamic set of services to independent advisors – who increasingly are facing greater practice management, asset management and technology complexities.

RIAs have a new top cop in Washington.

Con artists are taking advantage of the legalization of medical marijuana to lure investors into buying stock in weed-related companies, regulators said.

Are you paying enough attention to your top 20 clients? Here are some tips to help you retain your best clients.

Two of the most influential organizations in the world of independent planners, the CFP Board and NAPFA, do not agree on the definition of one of the most hot-button terms in the profession: fee-only.

LPL Financial wants its advisors to know that it has heard their complaints and is doing something about them.

Umpqua names a former Citi Private Bank executive to lead growth in the San Francisco region.

The Public Company Accounting Oversight Board finds for the second year in a row that accounting firms and broker-dealers share a too-cozy relationship that prevents thorough, quality audits.