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RIA in a Box's registration maintenance service focuses on turning down an RIA's panic level from surprise regulatory visits.

U.S. bond fund investors have been more reliant on government bonds and corporates than their European counterparts but that will change if rates stay low.

JonesTrading Institutional JonesTrading to Acquire Conifer SecuritiesServices said it signed a letter of intent to acquire Conifer Securities from the Conifer Group.

Norman Greenidge will be responsible for meeting the wealth management needs of professional athletes through Northern Trust's core services of financial planning, investment management, trust and estate planning and private banking.

Equity fund investors appear to be exiting from mutual funds and investing in ETFs instead. The ICI reported net redemptions of $64.673 billion for U.S. equity funds and $42.887 billion for all equity funds for the year to date.

Standard & Poor's downgrade of the United States government a year ago has had a wide but shallow impact on municipal bonds.

Wells Fargo & Co. agreed to settle charges that its brokerage and a former vice president sold securities it didn't understand to municipalities, non-profit organizations and other customers.

Steve Wershing, "The Referral Doctor," says one of the great misconceptions in our business is that clients "give" us referrals. If advisors want to learn how to attract a significant number of ongoing referrals, they must understand the dynamic that causes people to make referrals in the first place.

The Dow Jones Industrial Average inched up 2.71 points Tuesday to close at 13.172.14 while the S&P 500 and Nasdaq trimmed 0.58 points and 5.54 points, respectively. Here are some more details from Tuesday's trading session: Dow Jones Industrial Average: Up six of the past eight trading days. An intraday high of 13223.01 occurred at 09:32:19 today, representing an increase of 53.58 points, or 0.41%. An intraday low of 13142.10 occurred at 15:53:39 today, representing a decrease of down 27.33…

TD Ameritrade Institutional claims its iRebal system will allow financial planners to rebalance client portfolios in "near-zero" time.