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FINRA plans to add 1,000 new arbitrators this year to improve its troubled dispute resolution process, but offers few new details on some of its largest challenges.

Retirement investors should learn how to balance the different risks to their portfolio instead of avoiding them altogether.

The regulator is asking firms to provide details of their cross-selling programs, including incentives offered brokers and other employees.

Clients age 65 and up have to move fast to load up on medical expenses and get these benefits. Plus, considering MLP ETFs after the recovery of the energy sector and how certain mutual funds can charge a capital gains.

CEO Sergio Ermotti pledged that cost-cutting efforts are to continue.

Mirae Asset Global Investments said it is building its cash position in one of its Asia bond funds during the U.S. presidential campaign.

Prices of the metal have dropped by half from a peak in 2011.

The decision is effective immediately and was made within hours of the Department of Labor issuing new regulatory guidance on the fiduciary rule's implications.

The adviser contended that not a single one of her clients from Schwab transferred their accounts over to J.P. Morgan.

Such a portfolio outperformed the S&P 500 in an analysis covering 1928 to 2015.

That extra back-end comp "can create acute conflicts of interest," the Department of Labor says in newly provided regulatory guidance.

Your emotional intelligence, or EI, affects portfolio planning as well as professional relationships. Here’s how to develop and harness this powerful tool.

The custodian's CTO Tim Heier said it has no intentions to sell the data or information it gathers.

Lawyers will likely become "very industrious … and once the trial bar is on to something, you know regulators will look,” a Schwab exec predicts.

Morgan Stanley and RBC lose two recruits to the regional firm.

"We fully expect to offer a range of options to help our clients," CEO Paul Reilly said.

Deutsche Bank’s $5.5 billion of AT1 notes have come under pressure this year as fixed-income investors fret about whether the relatively high yields compensate for the risk of losses.

Following the success of smart beta, managers are pitching a new type of diversified portfolio effectively run by a committee of robots.

The new rule will lead to lower built-in commissions, enhanced agent/advisor education, and increased regulation of indexed annuities.

Unlike its rival, Morgan will keep commission-based retirement accounts under the new regulation's best interest contract exemption.