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Nasdaq OMX is making a push to grab more ETN listings, challenging long- time market leader NYSE Arca for what can be lucrative listing and trading fees.

Older clients will have a harder time grasping new ideas, but they also will be more certain and confident in their decisions.

Don't emphasize the money they'll make or the firm's reputation. Focus instead on work-life balance.

Banks and credits unions have only about one-third of the total advisors they need to provide "a really good client experience," says executive at BISA's 2015 annual convention.

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

Advisors who can bring in and work with clients, wealth strategists with tax and accounting expertise and successor CEOs are in greatest demand.

Plus, a tax-free trick many ordinary Americans don't know about, best strategies for a tax-free income, and how a tax-savings strategy on property capital gains is re-emerging.

The move highlights a broader shift in the way large regional banks are running their wealth management businesses.

The emerging affluent may end up with more assets than their older (and wealthier) counterparts.

The 101 most popular funds for retirement savings; the importance of rebalancing portfolios to avoid moving stocks in bear markets; and how investors can put money into annuities and IRAs when a 401(K) isn't enough.

The challenges women face -- earning less and living longer on average than their male counterparts -- greatly affect how they invest and what they're looking for in a planner.

For many bond managers, equities seemed like a great idea after the 2008 financial crisis. The Federal Reserve had pushed interest rates to near-zero, potentially leaving little room for bonds to appreciate and fueling a rally in stock markets that’s about to enter its seventh year.

Investors are pouring a record amount of money into ETFs that focus on municipal debt even as the consensus on Wall Street calls for higher interest rates in coming months.

At least three senior BofA executives with long ties to Merrill Lynch have departed the division headed by Montag since bonuses were paid last month.

The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.

The IRS is continuing its enforcement push against refund fraud and identity theft, and today announced the top ten identity theft prosecutions for fiscal year 2014.

Tricia Denise Willis was expelled from the brokerage industry for allegedly swiping $17,400 from a bank customer.

While Generation Y may seem uninterested in what advisors do, they may be the answer to the shortage of talent in the industry.

Your affluent clients may think they can just write a check to cover college costs. They're probably wrong. Here are a few issues that parents (and grandparents) should consider.

Also, Raymond James added two $2.6 million producers advisors who last worked at RBC. However, Raymond James wasn’t the only winner. See these and all the latest advisor moves in our latest recruiting roundup.