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The repeal of the 3% withholding tax might actually make life easier for financial planners and their clients.

FINRA and the SEC issued a joint risk alert and regulatory notice Wednesday, advising broker-dealers to make sure they’re mindful of what’s going on within their branch offices and even offering some tips to ensure they remain in compliance.

Broadridge Financial Solutions has linked its fixed income processing platform in Canada to the country’s central securities depository through a new module called ClearancePro.

Long-term mutual funds took in $1.4 billion in the week ended Nov. 22, according to the Investment Company Institute.

Principal Funds has launched the Principal Global Multi-Strategy Fund, which will invest in alternative strategies through specialist sub-advisors to provide income, while combating inflation and market volatility.

More than half of Fidelity's 11.7 million 401(k) participants are in plans that have automatic enrollment, up significantly from 16% five years ago. Furthermore, 73% of the plans Fidelity administers default their participants into lifecycle funds up from 11% in 2006.

Lincoln Financial Group has launched a new, $20 million advertising campaign created by Gyro of New York.

Long-term mutual funds took in $1.40 billion in the week ended Nov. 22, the Investment Company Institute said Wednesday.

Some 60 UBS Wealth Management Americas financial advisors will kickoff a three-month test drive this week of an iPad application designed to make it easier to interact with clients and access research reports — all in the hope of generating more assets under management.

Principal Funds has launched the Principal Global Multi-Strategy Fund, which will invest in alternative strategies through specialist sub-advisors to provide income, while combating inflation and market volatility.