Wealth management

FINRA has delayed consideration of a highly contentious proposed rule on recruitment compensation disclosure.

For many years top advisors have been telling you what clients want and need, how best to communicate, what types of events to host, all the way down to what to wear. But the only way one can really know, is by asking clients and prospects directly write advisor coach Matthew Halloran.

The Financial Planning Coalition submitted a letter to the Securities and Exchange Commission saying it would "vigorously oppose" attempts to weaken the fiduciary standard for broker-dealers and submitted research showing a client-first standard does not limit advice to “mass market” clients.

The Securities and Exchange Commission’s custody rule governing investment advisors’ custody of client assets imposes various requirements and, in turn, costs on investment advisors, who often need to hire independent accountants to conduct surprise examinations, according to a new report by the Government Accountability Office.

It may be difficult to resist, but responding to emotionally charged emails instead of initiating a verbal discussion can be a slippery slope. Not only can it harm relationships, it tends to be a distraction from what really matters write Dave Grant.

Third-party money manager CLS Investments announced the launch of a new multimedia educational initiative for financial advisors on Monday.

Global exchange-traded funds and exchange-traded products last month experienced outflows for the first time in two years losing $3.98 billion.

Total assets in municipal bond funds rebounded after a week of record outflows, even as investors continued to redeem their cash for the sixth week in a row.

A Philadelphia district court handed down a $100,000 fine and six-month prison sentence for allegedly unlawful trades.

St. Louis-based Buckingham Asset Management has added JWA Financial Group of Dallas in its latest acquisition.

When wirehouse brokers consider shifting to independence, they need to weigh a lot of factors and ask a lot of questions. John Stuart and Mag Black-Scott of Beverly Hills Wealth Management provide 11 questions that should be top of mind before making the move.

With choices like Salesforce, Junxure, Redtail and more available in the marketplace, selecting the right CRM can be difficult. Dave Grant weighed a lot of options and considered many factors when he made his decision.

If federal regulators move ahead with a plan to impose a uniform fiduciary standard of care on investment advisors and broker-dealers, financial professionals anticipate that the cost of doing business will increase, with a result of higher client fees and more limited services, according to a new survey.

Nearly 70% of Millennials have no retirement plan, according to a new survey.

Sen. Pat Roberts, R-Kan., and Rep. Tom Price, R-Ga., have introduced legislation in the Senate and the House to block foreign governments from collecting taxes on securities transactions.

In investors' epic search for yield, one strategy in particular has risen to the top this year: loan participation mutual funds and ETFs.

Investors yanked $28.54 billion from long-term mutual funds were $28.54 billion for the week ended Wednesday, June 26, according to the Investment Company Institute.

The average person checks their phone every 6.5 minutes, according to a recent study by Nokia, and with dozens of apps on the average smartphone, it’s certainly easy to spend your days distracted by Angry Birds and Instagram. Financial advisors, however, pinpoint these smartphone apps as essential in helping to make their businesses and lives more efficient.

While a new report on multifamily offices finds big growth industrywide -- nearly 10% asset growth in 2011, the last year cited -- family office executives said a "primary growth constraint" was the ability to hire dedicated business development professionals.

Asset management deal activity rose during the first four months of this year as compared to a year earlier, according to a new report by Freeman & Co.