Practice management

The regulator seeks to change the way customers select arbitration panels.

Most Boomers lack confidence in their retirement readiness, and the unease is growing.

One of the keys to the success of a client advisory board is having the right people in the room to participate in the conversation. Many advisors assume that they want a good cross-section of their clients but Steve Wershing disagrees.

LIMRA research indicates that few of these consumers are taking full advantage of the retirement savings vehicles available to them.

These investors are often plagued by fear and paralyzed by indecision. They have very serious income needs, and traditional vehicles such as CDs, government bonds, and investment grade corporate bonds are not providing returns above inflation-let alone allowing them to meet household expense obligations. So where should they turn?

The SEC has charged the CEO of Simran Capital Management with defrauding the largest public pension in the United States, among other clients.

The ranking Democrat on the House Financial Services Committee is making another push to charge advisors for SEC examinations.

The Bureau described the use of various senior designations as “extremely confusing for consumers,” noting that more than 50 different such designations are currently used to sell a wide variety of financial and insurance products.

"Once it is released it's going to be attacked. It's already being attacked, even though nobody really knows exactly what the rule will be," Ron Rhoades told reporters during a conference call on Thursday.

Outsourcing in wealth management has been gaining continued momentum according to a Celent study.

As advisors – and entrepreneurs – it’s hard to come across a marketing idea we don’t love. Because of this, we all have a tendency to lose the balance between strategic thinking and the little things that need to be done to ensure the big picture vision is properly executed. Ron Carson asks, how can advisors keep the scale balanced in their dynamic role?

Financial advisor candidates will need to pay more to take securities licensing exams starting June 1, the North American Securities Administrators Association announced.

The organic expansion plan sets Tiedemann apart in the wealth management space, where many firms recently have opted instead for an acquisition strategy, which brings an instant infusion of assets and revenues.

By handling referrals in a simply, systematic and disciplined way, advisors can promote meaningful growth at a limited cost, according to Matt Matrisian.

Mary Jo White, the first former prosecutor to serve as chairman of the U.S. Securities and Exchange Commission, has pledged to run a “bold and unrelenting” enforcement program at the agency charged with regulating Wall Street.

Martim de Arantes Oliveira will be responsible for driving the growth of Ascent’s new office, which will open this summer.

Few advisors are encouraging their clients to take action now and prepare for the challenges their investments will face in a rising interest-rate environment., according to blogger Ken Haman. How could this cost you business in the long-run?

While some of the asset increase resulted from appreciation since the 2008 financial crisis, other factors contributed to this growth.

Former MF Global Inc. broker Evan Brent Dooley was sentenced to five years in prison for making unlawful unauthorized trades that caused the now-defunct futures firm to lose more than $141 million in 2008.

Securities and Exchange Commission commissioners and panelists at a roundtable Tuesday wrestled with how to improve the transparency of municipal bond trading and prices, particularly for retail investors.