Lori Richards, the SEC's first and only director of Compliance Inspections and Examinations plans to leave the SEC after more than two decades, the Securities and Exchange Commission announced today.
African Americans and Hispanics are less prepared for retirement than their white and Asian counterparts, according to a survey released today.
Coming up with effective marketing initiatives in today's challenging financial environment can be difficult.
Louis Schwarz responds to his clients' concerns even though he can't hear what they are saying.
In their efforts to cut costs, advisers may be setting themselves up for some big expenses.
Financial advisers are facing tough times, with 40% having to cut back on support staff through layoffs or attrition, a soon-to-be-released report has found.
Complain as they do about technology, financial advisers don't realize how good they have it compared with managers of family offices.
Life insurers and banks bashed the administration’s proposal for a Consumer Financial Protection Agency today at a House Financial Services Committee hearing.
For all the talk of advisers recognizing the importance of female investors, it still seems there's a way to go.
Many financial advisers think that the best way to rebuild their businesses after the economic downturn is to find new clients.
The nearly 800,000 women who become widows each year share something beyond loss.
TraderPlanet.com has redesigned its website to improve ease of use and navigation for users who want to keep their trading skills sharp.
Advisor Products connects to Redtail’s customer relationship management system, AdviceAmerica Inc. has released its latest version of its financial planning product.
ExpertPlan Inc., a private-label provider of retirement plan record-keeping services, has purchased a portion of Automatic Data Processing Inc.’s retirement services record-keeping business.
If you are serious about attracting affluent clients to your practice, keep reading.
President Harry S. Truman, known for his plain speaking, could teach a thing or two to today's financial advisers.
Despite the intense scrutiny on executive compensation by legislatures and regulators, major brokerage firms continue to offer generous recruitment packages to top brokers.
A sprawling case of alleged securities fraud involving an independent broker-dealer and two brokers may wind up costing an insurance company $10.3 million.
In an effort to cut costs and save time, many advisory firms are deciding to forgo hiring summer interns this year.
As new annuity rules continue to develop, chief compliance officers at broker-dealers say that they still face some challenges in implementing compliance procedures with their financial advisers.
