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The invitation-only event went into uncomfortable territory for some attendees.

“The combination of low rates, curbs on state and local tax deductions, and consistent economic expansion have been a nice tailwind,” an analyst says.

The market information giant provides financial data and infrastructure to more than 40,000 institutions in over 190 countries.

Even though it now claims six million accounts, the free trading platform may still need to expand its offerings to stay competitive, experts say.

The organization is focusing its efforts on diversity, technology and creative product development in 2020, says Jim Fitzpatrick, president and CEO of the group.

Fee compression and commoditization of investment products over the past decade are threatening already slim margins in asset management.

The right toolkit can help clients accomplish their dreams and ease the financial burden on their loved ones.

Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.

Bill Mahler had been chairman of the firm’s equity capital markets and equity asset management units. He was also on the executive committee.

The venture would mark a return to private banking on U.S. soil after an agreement to transfer its U.S. brokerage to Wells Fargo in 2015.

Billy Ricketts is most likely the elder stateswoman of wealth management — but she and her grandson believed it was time for something new.

“We need someone with a deep understanding of BlackRock, our business and, above all, our culture,” CEO Larry Fink wrote in a memo.

Among the honors this year by NICSA are awards for operational excellence, and advances in product development and technology.

The tax basis can change when homeowners compute depreciation, loss or gain for sales purposes.

More than 70% of U.S. ETF assets are in funds that charge 2 basis points or less, data show. But free isn’t an automatic ticket to success.

Students can always borrow money for school, but there are no "retirement loans" available for clients to use to fund life after work, a CFP writes.

An online war is underway for deposits, as a wide range of players — traditional wealth managers, big banks, digital-only platforms and fintechs — offer high-interest savings and checking through apps and websites.

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.

For its annual NOVA awards, NICSA recognized asset managers and executives for operational excellence and product development.

Studies purport to have proven both that socially responsible investing hurts returns, and that it can boost performance.