Practice management

Morgan Keegan employees were required to make a home office visit after their firm was acquired by Raymond James.

Recruiting and hiring experienced, client-facing advisors with ultra high-net-worth experience is extremely difficult right now, with demand high and supply low, say a number of executive search specialists.

The Internal Revenue Service is reminding tax professionals that they must implement safeguards to protect taxpayer data.

Federal regulators would “like to codify exemptive relief” from provisions of the Investment Company Act of 1940, so they can focus on more innovative fund applications.

Almost half of American workers and 36% of retirees lack confidence that they will have enough money for a comfortable retirement—but few are turning to advisors for help.

Through less promotional posts, advisors may be able to avoid the red tape.

Wealth is shifting to new demographic groups, requiring advisors to re-evaluate their approach to client engagement. Here, we explore the key business factors driving the urgency behind advisors’ need to focus on women.

Wells Fargo has hired 17 advisors to its standalone branches and added nine advisors to its independent brokerage business, Financial Network.

Personal devices can pose a serious threat to businesses if strict policies and preventative cybercrime measures are not put in place, according to a study. Advisory firms may be wise to maintain a watchful eye on employee communication.

As the Securities and Exchange Commission's enforcement and litigation activity in 2012 demonstrates, the agency's focus on municipal market enforcement has increased dramatically, and this trend seems likely to continue under the SEC's new leadership.

When small business owners become successful, they become a magnet for questionable deals and speculative investments.

The system isn’t falling apart, but clients in their 60s have more personal concerns at heart—and you need to be able to answer their questions.

A new report on FINRA's 2012 actions suggests the self-regulatory body is getting tougher.

After hiring 3,597 full-time agents last year, New York Life is raising the ante, with a goal of adding 3,700 reps in 2013. Among the new hires, more than half are expected to be women or individuals who represent the “cultural markets,” as the company put it, referring specifically to the African-American, Chinese, Hispanic, Korean, South Asian, and Vietnamese communities.

From future predictions to fee inquiries: Here are a few inquiries that aggravate financial advisors the most.

According to a new Franklin Templeton Investments survey, 73% of respondents reported they find thinking about retirement saving and investing causes them stress and anxiety.

New may not always be better, but it is what the retirement industry needs right now.

Senate Budget Committee chairman Patty Murray, D-Wash., on Wednesday unveiled a fiscal 2014 budget that would reduce the deficit $975 billion by "closing loopholes and eliminating wasteful spending in the federal tax code that benefits the wealthiest Americans and biggest corporations."

As baby boomers’ demands change, the industry needs to take a more holistic approach, according to the president of the Ameriprise Personal Advisors Group.

Millions of baby boomers born in 1948 will become eligible for Medicare this year and face the complexities of choosing Medicare plans. As this group navigates the choices in Medicare Enrollment for the first time, financial planners have a chance to share with them advice that will help them make the best decision.