Practice management

A dozen Senate Democrats and an Independent lawmaker have re-introduced a bill that would impose a minimum 30% tax on high income tax payers who earn more than $1 million as a way to help reduce the ballooning federal deficit.

Program managers and bank advisors may not agree on everything, but most likely they see eye-to-eye on one thing: the desire to increase an advisor’s production.

Why is branding so important and how can you build a stronger brand?

Mary Jo White, President Obama's nominee to chair the SEC, faced little resistance at a Senate confirmation hearing as she said that, if confirmed, she intends to move swiftly to close the book on an array of rules that advisors have been watching closely.

Mary Jo White, President Obama’s choice to run the Securities and Exchange Commission, may be compelled to provide more information about her ties to large banks as senators press her about how she would operate as Wall Street’s regulator.

Oppenheimer & Co. agreed to pay about $2.9 million to settle claims by the U.S. Securities and Exchange Commission that it misled investors in a private-equity fund.

Fidelity Investments, the biggest U.S. manager of money-market mutual funds, said there is growing agreement among company leaders and regulators to limit any new rules for the products to those eligible to buy corporate debt.

More than two-thirds of advisors (68%) have no formal succession plan for their businesses and among those who do, the plans are sketchy.

The network of independent broker-dealers has introduced a platform that proactively rebalances client portfolios at all account sizes for lower prices.

Small business owners prefer a Tax Code with low rates and fewer deductions, according to a new survey by the National Federation of Independent Business, but their bottom line is whether their taxes rise or fall.

Charles Schwab & Co. is in the midst of a regulatory struggle with the Financial Industry Regulatory Authority that threatens to change how the firm and other retail brokers do business with its clients.

Few bank executives could state a clear and comprehensive wealth strategy. And most had trouble identifying something about their wealth management efforts that was unique.

What does it take to be a successful advisor? And how do you prove your worth to clients?

The future of financial planning will be shaped by a dozen key trends. How will these trends affect you and your business?

What is the proper role of an advisor in the board meetings. Should they attend? Should they speak? Steve Wershing says advisors have to understand the "don'ts" before they consider the "do's."

The number of tax-delinquent federal workers and retirees increased by 11.5 percent in 2011, according to Internal Revenue Service data.

Norm Champ has been on the job as Director of the Division of Investment Management at the Securities and Exchange Commission for eight months and a lot of mutual fund executives are nervously waiting for the SEC has in store for the industry in 2013 and beyond.

The interest in security among independent advisors seemed to have ratcheted up. Perhaps it’s because major custodians have acted to heighten advisor awareness of attacks, or it could be increased media coverage of Chinese hackers targeting U.S. websites — but either way, it was one of the key questions for attendees at February’s Technology Tools for Today conference.

Among the provisions of the new tax law is the introduction of in-plan Roth conversions for participants of employer-sponsored retirement plans. This provision may be especially valuable to high-income clients, according to Thomson Reuters.

What's worse than battling with a loved one over money? Watching another couple argue about money ... right in your conference room.