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Planners must make accurate disclosures about their service models, says the regulator.

New FINRA rules will help the wealth management industry do its part to identify and prevent elder abuse.

Lawmakers agreed to form a congressional committee that would look into multiemployer plans and develop a measure to fix these plans' insolvency woes.

The products seek risk and return objectives through factor exposures such as minimum volatility, value, momentum, liquidity and quality.

The advisor persuaded the customer to liquidate his IRA and invest the money in a risky and costly options trading strategy the advisor managed, FINRA alleged.

A FINRA arbitration panel concluded that the No. 1 IBD made false and defamatory statements in its U5 filings.

Among recent career changes, Merrill Lynch lost brokers managing $2.2 billion to rival J.P. Morgan Securities.

The stock market only had a taste of the potential damage — with the biggest test yet to come.

The brokers previously worked at Wells Fargo, which has suffered from attrition to smaller rivals over the past year.

The SPDR fund's newfound appeal may be linked to its dividend yield, which has jumped to its highest level since 2008.

The company has been in conversations with ETF Securities and Global X, say people familiar with the matter.

The CEO of the firm’s parent says it expects to trim hundreds more advisors from its ranks over coming months.

The president reportedly feels strongly that state and local taxes should be applied to online purchases.

The right strategy can put them “in the 0% tax bracket,” an expert writes.

“Serving the investment needs and opportunities unique to clients who reside outside of the U.S. has become increasingly complex,” the firm said.

As investment management becomes a supporting service, software providers are facing disruption.

“We’re going from a Civic to a Cadillac,” advisor says of the move.

Taxation of retirement plan distributions and Social Security benefits remains unchanged under the new tax law, but retirees are likely to see an increase in after-tax income.

Advisors should consider how they are preparing for a rising rate environment.

First Federal Savings Bank of Champaign-Urbana moved its investment services business to LaSalle St. Securities in a bid to deepen relationships with the back-office staff supporting the business.