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To compete with larger industry players, RIAs must improve their processes, according to a new study by Aite Group and Envestnet/Tamarac.

Regulators are focusing attention on ensuring community banks have proper security systems in place in the wake of a string of cyberattacks on megabanks.

RCAP CEO Nick Schorsch says the deal could be a "tipping point" in a new wave of private equity investment in independent broker-dealers.

Morgan Stanley Chief Executive Officer James Gorman said his firm’s wealth-management unit can earn a pretax margin of more than 23 percent by 2015 as interest rates and stock markets climb.

The most important thing an advisor can do for clients is to integrate their investment portfolios with the rest of their financial needs, according to Morningstar’s director of global fund research.

Buyer beware! The Financial Industry Regulatory Authority issued an investor alert regarding the burgeoning alternative mutual fund asset class.

During the week ended June 5, investors yanked an estimated $11.53 billion from virtually all categories of long-term funds, giving them their first weekly outflow this year.

A difficult May in the municipal bond market has put investors on the defensive.

As more banks look to equip their branch employees to handle all of their customers' needs, experts offer tips on how to ease the transition.

Morgan Stanley has a plan to boost return on equity in fixed-income trading above its cost of equity after four of the five units failed to meet that metric last year, Chief Executive Officer James Gorman said.