Practice management

Practicing these simple techniques will help you overcome the negative thinking habits that cause the bulk of your stress.

Some advisors are great at strategic planning for others, but never plot out an ideal future for themselves.

While an advisor's pitch to clients should be well rehearsed, it also needs to be flexible, says new solo advisor Dave Grant.

Few things are more frustrating than encountering advisors who consistently provide sound counsel to their clients -- but forget to practice what they preach for their own business and personal plans. Here are the areas advisors most commonly need to start heeding their own advice.

UBS will pay $4.58 million to settle an investigation by regulators into whether its sales assistants were licensed in states where they did business.

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.