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Financial products and markets are so thoroughly intertwined that regulators need to take a more holistic approach than they have in the past.

New options could stake out a middle ground between a lump-sum payout from a 401(k) and putting the entire plan into an annuity.

The IRS is about to get an unprecedented look at bank accounts and investments U.S. citizens hold abroad, through a law that is making it harder to hide assets from the tax collector.

The errant sales assistant allegedly converted funds from an LPL business bank account.

Trust is critical to establishing good relationships with clients, but the financial industry has long suffered a trust deficit. Time to talk about it.

BNP Paribas' record $8.9 billion penalty and criminal guilty plea could have reverberations industrywide, including emboldening the Justice Department to seek similar actions against domestic banks and causing international regulators to take retaliatory action.

Alternative investments aren't just for institutions any longer. Alt mutual funds and ETFs have seen a 100% increase in inflows over the past two years.

Retirees ignoring biggest assets; Spending habits more important than income; Situation improves for 65-year-olds

Triad believes it can attract advisors who are "more entrepreneurial" with its hybrid model.

Some advisors have found that covered calls outperform bonds and provide savvy selling strategies.