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Investigators will remain focused on RIAs, the commission's enforcement chief told lawmakers in his appeal for funds to add staffers.

Nicholas Kramer, an ex-Wells Fargo advisor, and Louis James Deeley, a former J.P. Morgan registered rep, were kicked out of the industry for alleged financial wrongdoing.

I don't want to be a distraction, I don't want to be irrelevant -- and I don't want to be wrong. Perhaps you shouldn't be making predictions either?

This week's notable news from the asset management industry includes a recent SEC roundtable meeting where some participants discussed the potential "unintended consequences" of universal proxy ballots, global ETP flows in February reached a record $50 billion, the fastest start to any year on record, and leadership at Vanguard were tasked with new roles within the firm.

Alongside the requisite ATMs and tablet-bearing salespeople, a New York credit union has installed touchscreens where customers can visualize a path to realizing their financial goals. Wells Fargo is taking a similar approach to credit education online.

F-Squared Investments, which last year admitted to misleading investors about its performance, has eliminated about 25% of its staff, according to a person with knowledge of the matter.

The IRS is reminding taxpayers who turned 70-1/2 during 2014 that they most likely need to start taking required minimum distributions from their IRAs and other retirement plans by April 1.

LPL's "lagging earning results" led the company's compensation committee to cut Mark Casady's bonus by 40%. But Casady also got $6 million in stock options.

Women tend to have similar priorities to men, but an array of different challenges. A recent Pershing study outlines six key differences that advisors should consider when working with female clients.

A tax-efficient strategy to best index funds; Plus, six reasons why investing in a taxable account is underrated, and how to capitalize on capital gains tax rules.