Brokers and advisors should be properly trained and educated by firms to identify and deal with diminished capacity and elder fraud

They're just like the rest of us. TD Ameritrade said millennials were invested heavily in individual stocks last year, representing 28 percent of new accounts opened at TD in 2015. Millennial investors really aren’t as different as some su...

According to new data released Thursday by Broadridge’s Fund Distribution Intelligence, ETF assets increased $124 billion in 2015, hitting an all-time high of $2.2 trillion. Comparatively, long-term mutual fund assets decreased by $161 billio...

One of the most common misconceptions regarding succession planning is: “I’m young and healthy.  I’ll think about succession planning when I’m closer to retirement.&rdquo...

The Financial Industry Regulatory Authority will be working on a number of rule changes in 2016, including revamping license testing and creating a waiver program for those taking a leave of absence or performing different job functions...

How not to give away your value to tire kickers

Don’t get friend-axed. Use Facebook to build, not hurt your personal brand and to build key relationships.

What value will independent broker/dealers be able to offer their advisors in a post-Department of Labor fiduciary world?

There are six Priority Intersections identified in both Priority Letters this year. These are the topics that senior management and compliance officers should focus on.