Practice management

The industry group plans to unveil recommendations for restoring confidence in the markets at its annual conference scheduled for November.

The tools were developed to help the “woefully low” number of people on track for a secure retirement and compel them to take action.

The banks saw increases in year-over-year comparisons on every gauge measured by an industry survey—average bank production increased 9% for the first quarter.

Dodd-Frank Act measures designed to prevent a repeat of the global credit crisis will be largely complete by the end of this year, financial regulators plan to tell lawmakers at a hearing today on the 2010 law.

Investment pitches by entrepreneurs and hedge funds may get a higher public profile on television, through social media and even at sporting events following the lifting of an 80-year-old rule by U.S. securities regulators.

What impact can "Promoted Tweets" have on your website? One advisor was brave enough to test the waters.

Northwestern Mutual, the nation’s 7th largest independent broker-dealer by total-revenue, announced Wednesday it has hired more than 1,100 financial representatives so far this year, and nearly 3,000 financial representative interns.

Massachusetts sent subpoenas to 15 brokerages including units of Bank of America Corp., Morgan Stanley and Wells Fargo & Co. as it investigates alternative- investment sales to seniors.

A FINRA panel ruled Wells Fargo’s lack of supervision allowed a third party to syphon funds from a client account.

Banks could boost the profitability of their wealth management programs if they integrated their private banking, trust and brokerage businesses.

Three new reports suggest that the wealth management industry still needs improvement — and hint at a slowdown after recent growth.

One key element separates the fastest-growing RIA firms from their peers, according to a new Schwab report.

One expert predicts that at least half of the top 30 U.S. banks will move advisors to a salary-based compensation system in the next two to three years.

Warning of a growing public pension debt crisis, Sen. Orrin Hatch introduced reform legislation on Tuesday that would allow state and local governments to invest in annuity contracts with private life insurance companies.

For a financial advisor, unpredictable stock market fluctuations, hostile calls from clients, being responsible for managing clients’ retirement nest eggs, overwhelming paperwork, and compliance/fiduciary issues are events and situations that potentially could cause such a fear. The key word here is “could,” because fear and anxiety do not have to result from dealing with such situations.

Michael Brannam and Patrick Brannam will join the firm’s Jacksonville, Fla., branch, where they will be equal partners of Brannan Wealth Management of Raymond James.

Merrill Lynch Wealth Management hauled in four advisors with $434 million in assets from Morgan Stanley.

The Milford, Mass.-based bank was drawn to Infinex’s technology and lead generation process.

FINRA has delayed consideration of a highly contentious proposed rule on recruitment compensation disclosure.

For many years top advisors have been telling you what clients want and need, how best to communicate, what types of events to host, all the way down to what to wear. But the only way one can really know, is by asking clients and prospects directly write advisor coach Matthew Halloran.