Practice Management

Some advisors have long ignored parts of ERISA when consulting participants of 401(k) plans. Now they don't have to. Still, the Street is confused over what the new pension laws really mean when it comes to reirement advice

Scrappy independent b/d's are swinging back against an NASD regime that they say has beaten them down and largely ignored their concerns

If you've got legal trouble, October may be your lucky month: It's mediation month. The program of events, sponsored by the NASD, kicks off on Oct. 3 at the New York City Bar Association in New York City. Perks include half price on all mediation...

If you're bankrupt, giving money to a religious institution is not an option, says one court.

You can find more opportunities - and affluent clients - by focusing on your goals

Reps say their clients don't want insurance but their clients say they do. If you want to hold onto these clients, you might want to consider their insurance needs more carefully

The line between brokers and fiduciaries has gotten blurry. When does a broker cross over?

In arbitration, the SRO warns you don't have Constitutional protection. But, there are limits