The holiday gifting season has come to an end. But it’s never too late, or too early, to talk about charitable-giving strategies. Particularly, longer-term strategies involving vehicles like charitable remainder trusts and their close...

We, the editors of Registered Rep. magazine, are officially opening our annual hunt for the best in the business. That’s right, we’re asking for nominations for the 2007 Outstanding Advisor Awards (formerly Outstanding Broker Awards)...

The SEC proposed a rule in December that would raise the net worth requirements of investors in hedge funds to $2.5 million from $1 million, not including the value of one’s home.

Morgan Stanley is facing a discrimination lawsuit by a former managing director who claims he was fired because of his age.

Financial advisors have long complained that 529 college savings plans aren’t profitable products for them to fuss with: The average account size is too small, the account opening process is too time consuming and, until recently, there was...

In the securities business, the word connotes a smallish brokerage, dispensing simple, up-the-gut advice to their aw-shucks clientele, the kind of folks who live in small cities and rural communities in, say, the Midwest. And we all know the...

As mandatory arbitration hits the 20-year mark, Registered Rep. looks at gripes —old and new—and how to fix them.

Buy-and-hold Edward Jones is considering a platform option it has long eschewed as foreign to the firm’s culture: fee-based accounts.

January is a month for making resolutions in all areas of your life. Make one now to take a realistic assessment of your current career situation to evaluate where you are today against where you'd like to be longer term. Here are two questions...

After Eliot Spitzer discovered the fund market-timing scandals in 2003, regulators searched for a solution. One approach proposed by the SEC was to boost redemption fees, socking speculators with extra costs for their short-term trades. But...