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Why these are more inviting under the new tax law.

A well-executed website is an opportunity to explain your value proposition to your client and reach new ones.

More than half of advisors would consider buying a smart beta muni bond ETF for clients, according to a Columbia Threadneedle poll.

Piwowar was appointed to the SEC by President Obama in 2013.

An advisor kept working with clients, and impersonated others on phone calls with Schwab, the SEC says.

A study notes that retirees might be experiencing the “Homer Simpson” mindset, in which they choose immediate gratification without thinking about the long-term consequences.

The advisors agreed not to solicit clients and to return confidential information to the bank.

Stratos Wealth and other OSJs are offering more types of affiliation and equity deals in a bid to stem a competitive threat.

A total of 155 new advisors have joined Ameriprise in the last two quarters, and they keep coming.

The broker, Michael Siva, was one of seven people charged with securities fraud last year.

With Elad Roisman’s appointment, Republicans could have a big advantage at the SEC by year end.

A long-term approach to owning individual bonds is rewarded with both greater yield and safety.

Two wirehouse advisors left the Charlotte branch one Friday afternoon, for separate firms.

With the increased popularity of open architecture systems, fewer RIAs are operating their practices solely based on proprietary tech from a custodian.

Digital brokerages are boosting features to bring in new clients.

One fund traded more than 800,000 shares in August, its second-largest monthly volume since inception.

To keep pace with its peers, Morgan Stanley is ramping up its online offerings in banking and wealth management.

Among current retirees, the numbers aren't much better: 60% of them have not calculated how much health care costs impact their savings.

Planners ranging from sole practitioners to the largest OSJ enterprises welcomed the CEO’s comment that the firm's culture was not aligned with its strategy.

The Fidelity Zero Total Market Index Fund attracted $753.5 million through Aug. 31, while the Fidelity Zero International Index Fund gathered $234.2 million, according to Fidelity’s website.