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Plus, Merrill Lynch grabs UBS planners who managed $750 million in client assets.

Market valuations are generally high this year partly due to a lack of rate increases, but fourth-quarter positioning can still present opportunities.

It all comes down to deciding on how you’re most comfortable marketing to prospective clients.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

Donald Trump defends paying no federal income taxes on some of his returns from decades ago.

A state court judge handed a partial victory to Gross in his document quest, while also placing limits on the information that Pimco must turn over.

Bats handles about a quarter of ETF trading volume in the U.S., giving CBOE a significant beachhead.

No more golf balls: Business-building giveaways that clients really want.

These certificants are multiplying — and so is their revenue.

Women are advised to double check their beneficiary information, update legal documents regularly and create a plan for long-term care.

The new recruit has been in the industry for nearly 3 decades.

The wirehouse's newest recruits operate from two offices on both coasts.

CtW Investment Group joins U.S. lawmakers and other labor activists demanding senior-level accountability after the bank opened accounts without customers’ authorization.

The fine is the largest ever by the agency for violations of the market access rule.

Even as more planners see opportunities in the rule, a large cohort are reconsidering their careers.

The simple analogy of a boat can help clients understand a sometimes complex investment strategy.

For many firms, it’s the single most important financial transaction they’ll ever encounter. Here’s how to get a big-picture view and also stay in control during the entire process.

The industry organization also recognized the innovative work of money management firms at the 14th annual NICSA/NOVA awards last week in Boston.

The firms sent letters last week praising the Financial Stability Board for shifting its scrutiny of the industry to specific trading activities.

Altering the various components of a portfolio does not improve performance 100% of the time. However, it does improve the outcome often enough that it’s worth teaching your clients the ins and outs of this investment technique.