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Financial advisors need to do more listening to really understand what their clients' want from their investments today and well into the future, a new study finds.

Although the unemployment rate in the U.S. is 9%, three-quarters of broker-dealers and registered investment advisors plan to hire in the next 12 months, and they plan to boost their staff by an average of 30%, Fidelity Investments found in a survey.

LITTLETON, Colo. -You can scale the outside wall of the Qwest CyberCenter here and drop down the other side into this industrial equivalent of a fortress, as a couple of national security spooks did a few years ago. But, like trying to scale a castle in the Middle Ages, you might just end up in a moat, inside.

You never know when an attack is coming. But, if you're not ready, your systems will get flooded and shut down.

Workers who participate in 401(k) plans would be greatly served if a bill that has just been reintroduced in the Senate's Committee on Health, Education, Labor and Pension is passed.

Craig M. Lewis has been named chief economist and director of the Division of Risk, Strategy, and Financial Innovation at the Securities and Exchange Commission.

Making content about their funds interactive and encouraging back-and-forth communication with customers earned Vanguard, Fidelity Investments, TIAA-CREF, BlackRock's iShares and The Hartford the top scores in Kasina's rating of asset management firm's use of social media.

Fund managers, broker-dealers, and clearing banks JP Morgan Chase and Bank of New York Mellon are hard at work to reduce the multimillion dollar intraday credit risk the two clearing banks face each day as they process tri-party repurchase agreements.

FINRA has ordered Credit Suisse and Merrill Lynch to pay up after providing faulty data and supervision of residential subprime mortgage securitizations.

The Financial Industry Regulatory Authority issued an alert to investors on Thursday urging them to carefully look into the potential risks of non-recourse stock-based loan programs before participating in them.