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The commission formed a new Investor Advisory Committee whose assignment is to advise the commission on regulatory priorities and provide information to retail investors on issues that the SEC deems important.

What is social media if not a big bullhorn to air your gripes of day-to-day life? And as long as those grievances are about banks' customer service (and they're out there), that can be one big hunting ground for new clients, provided advisors use it wisely.

Exchange-traded funds are the ultimate better mousetrap. But despite all the benefits they offer, there are some risks as well, partly because institutional investors have rushed in. Are they right for your clients?

There's never enough time, but multitasking only assures that you'll do a mediocre job at everything. Far better to prioritize and focus on the important tasks.

UBS and Stifel Nicolaus remain on course and undeterred by economic uncertainty.

Managers discuss their emerging market funds, which were successful last year.

How brokerage firms can prepare for the implementation of FINRA's new requirements.

Many reasons exist for going paperless, including saving time and reducing clutter.

Resist these common mistakes and make a smooth transition when hiring.

Stifel Nicolaus has hired Richard Ward in Irvine, Calif. He joins from Merrill Lynch, where he had more than $74 million in client assets under management and $680,000 in annual production.