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Technology can help firms stay in good stead with regulators.

Seniors are advised to work longer and retain their equity investments to help their portfolios keep up with inflation; Plus, why retirees are moving again.

The wirehouse recruited the mega team from UBS.

While the company has about 11% of the operating deposits in the country, it only manages 1% to 2% of the wealth, CEO John Stumpf said.

A father and his two sons switch from one independent broker-dealer to another.

The regional broker-dealer said it completed its acquisition of the British bank's U.S. wealth management unit, but it now expects that less than half of the assets under management will transfer over to the firm.

The credibility of the big banks is on the line while regulators face their own test in striking a reasonable balance between being too easy on the banks and unrealistic in their expectations.

The recruit previously generated $1.3 million in annual revenue.

It bears paying attention in the coming year as to what inroads digital-first firms can make into the DC space.

Stock demand is rising after the S&P 500 recovered from its first correction in four years, returning to a range that has confined stocks for most of this year.