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Assets in fixed-income ETFs swelled to A$2.32 billion ($1.7 billion) at the end of August.

Sales agents and advisers interact very differently with clients, columnist Bob Veres says. Here's how to tell which category applies to you.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

High-yielding investments come with a significant risk, as exemplified by ETFs that own energy-focused master limited partnerships.

Additional guidance on the new regulations will come regularly, according to Deputy Assistant Secretary Timothy Hauser.

Advisers who impress senior management can sometimes walk away with bigger offers.

It may seem like a no-brainer for RIA owners to look within the firm when they retire. Yet this assumption overlooks critical aspects of what an internal succession plan actually entails, says consulting executive David DeVoe.

By taking the right steps, advisers can convince loyal clients to follow them out the door.

Advisers who impress senior management can sometimes walk away with bigger offers.

Time, talent, terms and treasure should be on the checklist of those planners exiting the business.

Clients who turned 70 1/2 this summer have to act fast on their distributions to avoid paying a hefty penalty to the IRS. Plus, giving away stocks versus selling them.

Some worry that hiring interns will be too costly or time consuming.

When more clients live ever longer lives, what's an adviser to do?

Kim is leading Principal's charge into ETFs, which he called a natural complement to the mutual funds that the insurer already offers.

"A sooner-than-expected hike could result in these stocks trading up sharply, but the options market is largely discounting / overlooking this possibility," strategists wrote in a client note.

Investors should understand that market volatility will remain a risk to their portfolio, and investing in low-volatility funds does not guarantee protection.

It's one of the biggest hurdles many advisers face, and it's still critical for investing success, says T. Rowe Price's Brian Rogers.

The advisory group decided that operating as an RIA was a better option.

U.S. attorneys have opened criminal inquiries to look into both potential corporate and individual wrongdoing, according to a person familiar with the Justice Department investigation.

Lincoln Investment will gain 350 advisers in its acquisition, which CEO Ed Forst foresaw 20 years ago.