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FSI endorses IBD head Brian Kovack for FINRA post; Kovack hopes to win mid-sized IBD seat in which he would says he would represent firms, not investors.

Last year, real estate crowdfunding worldwide crossed the $1 billion mark. That amount is expected to rise by 150% this year to $2.57 billion.

The brokerage firms failed to waive mutual fund sales charges for certain charitable and retirement accounts, FINRA says.

Comprehensive retirement planning needs to help aging clients prepare for the non-financial risks that they face, from broken hips to dementia.

The former FDIC chairman said during a recent conference call that banks with a traditional model — essentially community banks — have been hurt by the Fed's interest rate policy and the trickle-down tactics of regulation.

Nearly 97% of advisors found niche marketing to be an effective strategy, according to a recent report from Cerulli Associates.

Municipal bond issuers may find healthy demand for $4.9 billion of deals scheduled in the coming week, as investors look to put reinvestment money to work.

Under Social Security's current rules, any amount of earnings after age 66 won't reduce lifetime payouts.

Even as ETFs further their penetration into markets across the globe, many market experts say the funds will evolve and mature in the upcoming months, as advisors look to alleviate client concerns.

Investors pulled money from Pimco’s flagship fund last month, the 26th straight month it has experienced redemptions.

The Wayne, N.J.-based bank chose Cetera Financial Institutions because it believed the firm could help the bank expand its service offerings into the mass-affluent market.

A recruit who worked with $658 million in client assets moves between the wirehouses.

Lawmakers are likely to pass as early as next year some measures aimed at changing the rules governing Social Security, Medicare and Medicaid; Plus, five steps for a comfortable retirement.

Simplicity is often the goal for clients. But how simple should they get, and how can it be maintained in a fast-changing world?

Plan ahead for the government's cut of your client's dividend income. Plus, how a mutual fund sale impacts a client's taxes, and assessing tax treatments for options trading.

Mike Greene will serve out the term of Joe Votava, who resigned earlier this year as chair-elect due to personal and business reasons.

Concerns about China and turmoil in Greece, along with growing speculation about the Federal Reserve were leading factors in the decline in investor confidence, according to a Spectrem Group report.

Analysis: The original version put financial advisors under onerous requirements that I have not heard of any other industry having, writes recruiter Michael King.

A key component to a successful wholesaling and marketing plan to capture AUM includes identifying wire houses, regional platforms, and other RIAs who currently use your existing products and indicate strong interest in owning your ETF.

Bill Gross, who has been running the $1.5 billion Janus Global Unconstrained Bond Fund since leaving Pimco last year, is getting a co-manager.