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Net income advanced to a record $5.09 billion, or 91 cents a share, from $4.11 billion, or 73 cents, a year earlier.

The SEC has already missed its end-of-the-year deadline on laying down rules for so-called crowdfunding of new companies. But FINRA has jumped into the regulatory void, issuing a voluntary form for prospective funding portals.

The unit earned $351 million in net income in the fourth quarter of 2012, up 13% from the year before.

You don’t have to go it alone, but finding the right partner is critical.

US exchange-traded fund assets increased by $292.7 billion or 28% in 2012, in part driven by positive cash flows of $182.6 billion, marking a new all-time high for the industry on the eve of its 20th anniversary, according to data from State Street Global Advisors.

Bill McNabb, chief executive officer of the Vanguard Goup, is starting 2013 with a bang.

Et tu, Ned Johnson?

Ed Slott, Your IRA Expert, examines your IRA and 401(k) issues, including how does the IRS plan to provide relifer from strict Roth conversion deadlines for those impacted by Hurricane Sandy.

Principal Funds is expanding its sales team with a new position.

Financial advisor Andrew Ryan of Deutsche, who lands at number 28 on this year’s list, says that anticipating volatility while working with his venture capital and private equity clients has been imperative in recent years.