Your Practice

Displaying 13014 results
Should fee-based advisers take stimulus loans?
RIAS MAR 30, 2020
Should fee-based advisers take stimulus loans?

The forgivable SBA loans could save some small businesses, or help support the bottom line of fee-based advisers

The latest in financial adviser fintech — March 2020
FINTECH MAR 30, 2020
The latest in financial adviser fintech — March 2020

Latest News in Financial Advisor #FinTech – where we look at the big news, announcements, underlying trends and developments that are emerging in the world of technology solutions for financial advisors and wealth management.

Jefferies exec dies from coronavirus complications
PRACTICE MANAGEMENT MAR 30, 2020
Jefferies exec dies from coronavirus complications

Peregrine Broadbent had been CFO at the New York-based investment bank since 2007

Adviser's new normal
PRACTICE MANAGEMENT MAR 28, 2020
Adviser's new normal

The editorial team has put together a series of stories that examines the “new normal” that COVID-19 has imposed upon the advice community

Robinhood accused of offering customers credits to squelch suits
FINTECH MAR 27, 2020
Robinhood accused of offering customers credits to squelch suits

Attorneys for users suing the company asked a judge to order Robinhood to stop sending 'misleading communications'

3 Questions: Adding video with Megan Carpenter
FINTECH MAR 27, 2020
3 Questions: Adding video with Megan Carpenter

The CEO of FiComm Partners talks about how advisers can best work video into their mix of client communications

Top 9 firms for do-it-yourself investors
FINTECH MAR 27, 2020
Top 9 firms for do-it-yourself investors

Self-directed investors are looking for more of a human touch, according to J.D. Power's annual study

Use a nonfinancial emergency fund amid coronavirus
OPINION MAR 27, 2020
Use a nonfinancial emergency fund amid coronavirus

Help your clients — and yourself — stay mentally and physically strong during these stressful and isolating times

Wells Fargo suspends job cuts
PRACTICE MANAGEMENT MAR 27, 2020
Wells Fargo suspends job cuts

It joins Citigroup and Morgan Stanley, as well as some European banks, in pledging to preserve jobs amid the pandemic

The time is now for advisers to demonstrate their value to clients
PRACTICE MANAGEMENT MAR 27, 2020
The time is now for advisers to demonstrate their value to clients

Millennials were unprepared when the bottom dropped out in 2009 and they need advisers’ help today

Wells Fargo Advisors reverses plan to charge more clients an account fee
PRACTICE MANAGEMENT MAR 26, 2020
Wells Fargo Advisors reverses plan to charge more clients an account fee

The firm is altering a plan that was unpopular with some advisers

Finra cancels annual conference in response to COVID-19 outbreak
PRACTICE MANAGEMENT MAR 26, 2020
Finra cancels annual conference in response to COVID-19 outbreak

The organization’s premier event sets the tone for its oversight of brokerages

Top 10 advice firms ranked by investor satisfaction in 2020
RIAS MAR 26, 2020
Top 10 advice firms ranked by investor satisfaction in 2020

Advisory firms headed into this year’s market turmoil with happy customers, according to J.D. Power's latest survey of investors' satisfaction with their advisers

Morgan Stanley CEO vows no layoffs in 2020
PRACTICE MANAGEMENT MAR 26, 2020
Morgan Stanley CEO vows no layoffs in 2020

The bank's shares are off 30% so far this year amid concerns about loan losses and the impact of low rates on margins

How contagious illness planning differs from business continuity planning
OPINION MAR 26, 2020
How contagious illness planning differs from business continuity planning

Unlike other business disruptions, contagious illness is not likely to be resolved quickly and it can come in waves across multiple locations

SEC lifts borrowing rules for funds hit by liquidity crunch
PRACTICE MANAGEMENT MAR 26, 2020
SEC lifts borrowing rules for funds hit by liquidity crunch

The regulator is allowing mutual funds to borrow from managers or other funds to meet redemption requests

SEC further extends filing deadline; Finra pushes arb hearings back again
RIAS MAR 25, 2020
SEC further extends filing deadline; Finra pushes arb hearings back again

New SEC order eases requirement for advisory firms to explain why they need to delay ADVs

Finra panel awards $800,000 in case against Stifel
PRACTICE MANAGEMENT MAR 25, 2020
Finra panel awards $800,000 in case against Stifel

Client claims rep used subterfuge to obtain consent for transactions

Advice firms will move more workers home
PRACTICE MANAGEMENT MAR 25, 2020
Advice firms will move more workers home

As businesses adapt to getting things done during the pandemic, the future of work looks more remote than ever

Wells Fargo to give extra pay to most U.S. workers amid crisis
PRACTICE MANAGEMENT MAR 24, 2020
Wells Fargo to give extra pay to most U.S. workers amid crisis

The bank will make payments to workers who earn less than $100,000 and were employed by Wells for all of 2019