Former House Financial Services Committee Chairman Spencer Bachus (R-Ala.) threw his support behind proposed legislation that would provide funding to the Securities Exchange Commission to boost its investment adviser oversight program...

The Financial Industry Regulatory Authority has assembled a 13-person task force to recommend improvements to the arbitration process. The task force will be charged with enhancing “the transparency, impartiality and efficiency of FINRA...

Atlanta: “Matt, your firm does all of this research on both the affluent and advisors, what does the future hold for us?” asked James during the Q & A following my presentation...

For financial advisors looking to sell their practice, one of the most challenging issues in getting the price that you desire comes down to financing the deal.  Historically traditional bank lenders have been reluctant to put up the funds...

What makes a successful wealth advisor...