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Robust Demand For Some Credits

FINRA has launched FINRA Disciplinary Actions Online, a searchable system that will give the public access to disciplinary actions for firms and registered representatives. It also adds another layer of transparency into the brokerage and financial advisory industry, on a firm and individual level.

Information on the original cost basis of stocks purchased by investors can now be transferred automatically in roughly 97% of cases.

The average pay in 2010 for the chief executive of a Standard & Poor's 500 company was $11.4 million.

Sean Foley has been promoted at fund administrator Butterfield Fulcrum and wealth management reporting firm FORS Limited to chief financial officer and chief administration officer.

Investors can't seem to get enough information on emerging markets and the funds that invest in them at Federated Investors.

Nearly 150 hand-picked and already highly successful Bank of America Merrill Lynch financial advisers next month will embark on what amounts to defined contribution retirement training boot camp at The Retirement Advisor University (TRAU) in pursuit of a Certified 401(k) Professional designation to further their DC expertise and differentiate themselves from other practitioners.

A perfect storm of eroding Social Security trust funds, high unemployment and a flood of Baby Boomers all hitting retirement age at the same time will put enormous strain on Social Security for the next two decades, forcing retirees and their advisers to come up with alternative retirement income plans and strategies to make ends meet.

As unified managed accounts become a larger part of the evolving separately managed accounts (SMA) marketplace, account managers, distributors, technology firms and Depository Trust & Clearing Corp are learning how to avoid "failure to communicate."

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.