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Many considered Dec. 31, 2013, the final date for year-end tax planning, but there are numerous planning actions that you can take in 2014 retroactive to 2013. Here's a quick and easy guide to help with planning.

If your clients run into one of these guys, they just may leave you to make the change to fee-based.

An advisory group in Winter Park, Fla. with $550 million in client assets leaves Morgan Stanley to go independent.

Financial services firms' 2014 plans center on product lines, distribution capabilities and technology, according to a survey done by Cerulli Associates.

The move is part of a shift of emphasis from life insurance "to a more well-rounded protection and retirement planning approach."

Granite Financial says it hopes moving to the IBD will power growth.

A report by the U.S. Treasury's Office of Financial Research on asset managers and systemic risk is inaccurate and should not be relied on for policy decisions or regulatory action of any kind, says the Investment Company Institute's General Counsel Karrie McMillan and Chief Economist Brian Reid.

Certain securities salespeople are giving the brokerage industry a bad name by putting clients into manifestly unsuitable securities, namely leveraged and inversed ETFs, which are attracting wary and watchful eyes among U.S. regulators.

ETFs continue to attract a broad base of global investors as investors seek efficient, tailored access to varied investment exposures and look for diversified buy-and-hold investment products.

Rising Treasury yields and the biggest equity market rally in 16 years are leading one measure of stock valuations to the most bearish level since 2011.