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The value of equities has risen to a level not seen since the dot-com bubble.

"The number of enforcement cases is likely to be down considerably going forward," said Urska Velikonja, a law professor at Emory University.

The $77 billion money manager says it will be the first to combine trading signals from Bing Predicts with its own predictive analysis.

The acting head of OCIE says the commission has abandoned "wide, full-scope" scrutiny in favor of more targeted, risk-based reviews.

Can a fund really ignore potential investments in Fortune 500 companies for non-financial reasons?

Clients who have assets in an IRA but want to reduce the costs may want to roll the money into their 401(k) plan if their employer allows such transfer.

The 17-year industry veteran says organic growth is the biggest issue facing advisory firms.

These products are meant for short- and intermediate-term investing and should carry enough risk to grow and meet the goals over time.

The firm also recruited an international wealth management team that oversaw $576 million, according to our latest roundup of recent hires and moves.

Keith Rowling ranked No. 2 on the 2016 list of the industry's top young producers.

The independent firm has recruited a number of wirehouse brokers and grown to $3 billion in client assets, according to the company.

The insurer pays $4.7 billion, aiming to cut costs, improve earnings and attract new clients.

The wirehouse has already paid $415 million in fines and disgorged profits in a settlement.

CFP candidates should consider a well-rounded college or graduate school education in professional sales.

After Trump’s election win sparked a surge in rates and drop in bond prices, Dan Ivascyn reloaded on longer-term debt that has subsequently risen in value.

The six-member team serves ultrahigh-net-worth investors and families.

As planners flock to these products, sponsors are differentiating their offerings to better stand out.

The majority of managers are investing in technology with the intent of streamlining operations.

The ex-wirehouse advisers are partnering with Stanley Hochhauser, an industry veteran of more than 50 years.

Hope is dimming, but top Democrats like Sen. Elizabeth Warren and investor advocates are unlikely to relent in their efforts to preserve the regulation.