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Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.

Advisors should be increasingly aware of how banks are shaping client expectations.

Nearly all of the fixed-income funds held short term debt.

The firm added 40,000 new accounts last year and hit a record $3 trillion in client balances.

Lack of oversight and potentially risky procedures are — or should be — in the fine print of these wildly popular tools.

Along with other decisions, dating the amount of money they need to withdraw would help them in retirement planning and spending.

The recruits include a father-son duo from UBS.

The SEC-approved ETF strategy protects “the intellectual alpha of active managers.”

The bank continues to struggle with attrition due to scandals, regulatory scrutiny and a graying workforce.

He used client funds money to pay for massages, jewelry and to shore up his wife's failing pet store.