Practice management

In the sharply contested fight over how to avoid the automatic tax increases and spending cuts that became known as the fiscal cliff, President Obama emerged as the "clear political winner," according to a new study by the Pew Research Center for People and the Press.

JPMorgan Chase named Tim Ryan its Global Head of Regulatory Strategy and Policy. SIFMA names Kenneth Bentsen its acting chief, starting Feb. 23, and will search for a permanent successor.

The Financial Industry Regulatory Authority assessed financial firms and individuals $68 million in fines in 2012 and ordered them to pay a record $34 million in restitution to investors, the regulator announced Tuesday.

The U.S. Supreme Court signaled it may tighten the time limits that apply when the Securities and Exchange Commission and other government agencies seek to impose fines on people and companies accused of fraud.

Most advisors say referrals are the key to growth. So why do so many fail to dedicate the time and resources necessary to generate them?

Think about how much you appreciate a handwritten thank-you note. Now turn that courtesy into a regular business practice.

We got lucky in 2012. The financial markets held up. The economy, while slow, didn’t tank. Inflation remained benign. And the world held together. Blogger Steve Sanduski asks, will we say the same about 2013 a year from now?

How important is naming, branding, promoting and marketing? For some independent advisors who came to independence from larger employee advisor models, you may not have thought as much about your brand in the past. As an independent firm in a growing and increasingly competitive landscape, it’s important to recognize that you are building a brand as much as a business.

The agency has asked firms to comment on a proposed rule and some potentially divisive modifications.

For RIAs who want to ensure clients that their firm will endure to serve their children and grandchildren, a robust internal succession plan is critical. One way to do that is to eliminate outside ownership conflicts, argues the founder and CEO of one leading RIA firm.

Yesterday, you carved out time on your calendar to network. Now, it’s time to pick up the phone and start dialing.

The Spectrem Affluent Investor Confidence Index gained some traction after a big decline in November.

Wall Street brokers who are lured to new firms with signing bonuses of at least $50,000 would be required to tell their clients under a rule proposed by the Financial Industry Regulatory Authority.

Tax forms from the federal government and many states may be delayed in the aftermath of the fiscal cliff legislation, one of the largest tax preparation chains warned.

Blogger Craig Faulkner says he is tired of hearing people his age talk about how confusing all the new technology is. He is convinced that most advisors are more intimidated by the idea of technology than by the technology itself. Check out three tricks to help you get the jump on all of the new data, devices, and demands they make on your brain and your time.

If you want to grow your practice, you need to get your lead generation efforts in shape. That means making time for networking.

Clear communications are vital to your client relationships. But repeatedly explaining the same complex topics can be time-consuming -- and allows room for error.

Making a to-do list probably sounds like a very basic time management tool, but the following approaches can help refine your list-making practice and make it even more useful.

In the most recent move by a large firm to help planners solve pressing succession issues, Cetera Advisor Networks is now offering its regional directors, s well as other small- to mid-sized broker dealers, the opportunity to sell their businesses to Cetera.

Advisors anticipate some additional tax questions and continued concern for clients in the high net worth bracket.