Practice management

The Securities and Exchange Commission issued its long-anticipated proposal for reforms to stabilize money market mutual funds and protect investors from the type of run that brought the sector to the brink of collapse at the height of the financial crisis in 2008.

When advisors are ready to transition to a new custodian or broker-dealer, how do they transfer and seamlessly integrate client records into the new firm’s system?

New planners should be aware of these commonly cited irks by firm owners and take the necessary steps to avoid them.

Some of the U.S.’s largest providers of money-market mutual funds have sought a compromise on new regulation, making adoption of tougher rules for the $2.6 trillion industry more likely if far from a sure bet.

Market challenges and opportunities; Yoga on the beach, and former Secretary of State Hillary Clinton. These are just some of the activities and topics set to be presented, discussed, tweeted, and analyzed at Pershing's three-day INSITE 2013 conference in Hollywood, Fla., that begins Wednesday. The Twitter-verse is already buzzing.

Sallie Krawcheck scolded advisors last month for their attitudes towards female clients. "Talking to husbands and nodding to wives no longer cuts it," she said.

Former U.S. Senator and new SIFMA CEO Judd Gregg tells On Wall Street why the legislation is the wrong type of law.

The appointment marks the unit’s latest move to build out its services beyond traditional wealth management.

Like any good advisor, Dave Grant has some tasks he is happy to handle, and other things he needs to outsource. How do you determine one from the other?

The rich are different from everyone else: They may need different insurance policies.

Bank of America Corp. and Wells Fargo & Co. were fined by the Financial Industry Regulatory Authority over sales of loan funds.

Janney has expanded its operations in Washington, D.C. with a two-man team overseeing $142 million in assets.

Regulation should be strong enough to protect investors yet business-minded enough to promote active derivatives, mortgage and other markets, says Judd Gregg, a former New Hampshire lawmaker and new chief executive of the Securities Industry and Financial Markets Association.

Putting your clients and best prospects on a regular call cycle is an idea that is well known and well understood conceptually, however, for most advisors it remains a conceptual idea, not an executed one, according to Bill Cates.

Advisors can decide whether to promote their brand or their firm's brand by answering three questions.

Nomura Securities has begun using a mobile application for asset managers from Nomura Research Institute.

The network was launched in September to help breakaway brokers transition from the traditional wirehouse model to independence.

So called “value-add” programs and tools from vendors are getting the attention of financial advisors and influencing their behavior, according to a new study, but still leave much to be desired.

How to innovate when you're in a large, matrixed institution? "Hackathons" are part of the answer for Hari Gopalkrishnan, who leads retail mobile app development at Bank of America Merrill Lynch.

Could cyberattacks bring down the U.S. financial network? Chuck Hagel thinks it's possible. Shielding the U.S. against the destructive potential of digital threats is among the top priorities for the nation, the Defense Secretary said.