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A proposed cap would impose a $3.4 million ceiling on retirement plans, although details are still scarce; Plus, mortgage debt threatens boomers' retirement.

An SEC fine of a Pennsylvania bank over an accounting matter from more than five years ago raises questions about how long community banks should be on guard about challenges to their conduct during the financial crisis.

President Obama's 2016 budget tax proposals would raise taxes on the wealthy and multinational corporations stashing profits offshore, while promising middle-class tax cuts.

UBS Group is being investigated by the U.S. over whether it helped Americans evade taxes by improperly using securities that let owners conceal their identity, three people familiar with the matter said.

With mutual fund assets growing exponentially, more private fund managers are taking advantage and launching retail funds. They might be unfamiliar with the scrutiny faced by traditional mutual funds, especially since Sarbanes-Oxley was passed. There are things to keep in mind when considering the best Sarbanes compliance practices.

Holdings in ETPs backed by silver fell 0.3% last month, after declining 3% in December, while gold holdings jumped 4.1% in January. Retail investors account for 80% of U.S. purchases.

Over two years, the number of $1 million-plus accounts jumps to more than 72,379 as a result of sustained saving efforts.

Too many companies skip this important step when confronted with a breach, but financial services firms are a critical line of defense against threats to client data.

"Anyone who owns minerals rights is concerned," says Jonathan Meaney, an advisor with Carter Financial Management, an independent firm affiliated with Raymond James Financial Services.

The three join a growing roster of J.P. Morgan alumni suspended and fined by FINRA since January.

The former branch vice president will now serve high-net-worth clients at the bank’s Los Angeles office.

Government and industry regulators release results of sweep exams evaluating digital defenses at advisor and broker firms, the latest indication that the groups are getting serious about cybersecurity.

A well thought-out and rehearsed response plan can be the difference between successfully containing cyberthreats and disaster, says Stephen Russell of PricewaterhouseCoopers.

The SEC has promoted former deputy director David Grim as acting director of its division of investment management.

Many clients think their workplace retirement plan is not worth it if there is no employer match contribution; Plus, how retirement plans can underestimate inflation

Kevin Carter's passion for emerging markets quickly put him at odds with the available ETF options for investors. Even in the largest offerings from established providers, he says the problem was apparent: investors weren't getting exposure to the innovative companies garnering global attention, such as Baidu, but rather staid, government-owned entities.

Pimco’s biggest mutual fund suffered about $11.6 billion in withdrawals in January, the 21st straight month of redemptions at the investment fund created and formerly run by bond manager Bill Gross.

Jan Hendrickson, former managing director and a founder of a venture capital firm, will grow the bank's ultrahigh-net-worth wealth management business in Seattle.

According to a new study, only 46% of new retirees are confident that they can afford the lifestyle they want in retirement.

The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.