News

Now’s the time to begin discussing new planning strategies with your clients.

The SEC must deliver two Dodd-Frank reports to Congress by January 17 and January 21. Compliance consultants, securities lawyers and lobbyists expect the regulator to recommend an SRO for investment advisers in the first and a fiduciary standard...

Updated 1:41 p.m. Morgan Stanley announced Monday plans to spin off its quantitative proprietary trading division, Process Drive Trading (PDT) by 2012.

As retail brokerage firms continue to make acquisitions and consolidate offices in 2011, still more branch managers may find themselves getting pink slipped, experts say. But other shifts in the wealth management business could spell opportunity...

Outflows from municipal bond mutual funds are likely to continue for the next few months, given municipalities' budget problems. But, after a strong 2010, retail investors are wading back into stock funds.

So you're unhappy at your current firm. But how unhappy? Quantifying the pain can be difficult, but it’s essential if you're actually considering doing something about it. That’s because leaving can be painful, too. Here’s a...

The ultra-wealthy are still pretty risk averse, according to a recent survey by the Institute for Private Investors, a membership organization for ultra-high-net worth individuals and families. But they may begin increasing allocations to global...

Charlotte: “Get this,” said one of the participants from our recent affluent focus group. “I met with my accountant over the holidays to go over year-end details and then stopped by my advisor’s office to drop off a sizable check—he was off for...

“We’ll probably see, especially now, clients less interested in investments and more interested in managing cash.So [software] solutions that do more than just spit out an investment [idea], but also a debt management and emergency...