Deciding whether to affiliate directly with a broker-dealer or join an existing OSJ involves evaluating factors in your own business, including finances, culture and contractual relationships
Advisers who continue to put off developing and implementing a succession plan are being shortsighted.
Financial advisers should consider all the evidence pointing toward lower equity returns, but be prudent in their approach to bonds.
In this election year, financial professionals should be beating the drum to make sure that financial literacy programs continue to receive funding support.
More and more advisers are posting, tagging and tweeting their way to business growth
Reimplementing Glass-Steagall won't change Wall Street's single-minded pursuit of the almighty dollar.
You can't fine someone unless you catch them. And most securities fraud goes undetected.
Support for Bachus bill seems to be fading as Congress hears more about possible Finra oversight
Events that millennials attend with their parents are a great way to let clients serve as a conduit to the next generation
Financial advisers have several responsibilities toward their clients as the investigations into possible rate-fixing continue
Too much style drift is a strong indication that a fund's manager, or managers, have veered away from a fund's stated investment objective.
When I became editor of <i>InvestmentNews</i> nine years ago, we had seven reporters and a handful of editors who produced a weekly print newspaper.
Our nation's economic recovery stands pretty much where it started off six months ago: improving, but not fast enough.
Social media is an incredibly fun and effective way to engage with millions of people online. Along with the excitement, however, is the perceived buzz kill—FINRA and SEC compliance standards.
President Barack Obama and Congress should focus their efforts on helping students avoid predatory high-interest loans from private lenders.
The Facebook IPO flameout carries both healthy and unhealthy lessons for the investment community.
