Client communications protocol has become so restrictive as to be absurd, registered reps say. How reps are handling it.

The rich are getting richer, and more independent when it comes to managing their wads of cash.

Misleading the Military: NASD fined two Fidelity b/ds $400,000 for preparing and distributing misleading sales literature that promoted Fidelity's Destiny I and II Systematic Investment Plans, which were primarily sold to U.S. military personnel.

When regulators play hardball—and lose.

In his new role as New York governor, Eliot Spitzer is joining forces with those he used to terrorize—Wall Street chief executives—to modernize financial services regulation in the state, the Financial Times reports. Spitzer is forming...

A good salesman doesn’t always make a good financial advisor. And some clients are finding that out the hard way. A survey published by The Paladin Registry, a for-profit company that offers consumers free access to a Web-based database of...

Let's explore how providing Ritz-Carlton service to your top clients can be a high-impact Rainmaking activity. Our research has informed us that each of your top clients, over the course of your professional relationship, should be responsible...

This week Massachusetts fired a round in the new regulatory war waged by state securities regulators against the use of senior designations to commit senior fraud. The Massachusetts State Securities Division adopted the nation’s first...