Subject Root Tag

If the graying financial services industry is to replenish the ranks of retiring advisors and brokers, firms and trade groups must take a more active role in promoting the field to millennials, says Pershing's Mark Tibergien.

U.S. banking regulators are crowding out the Securities and Exchange Commission on money-market mutual fund rules and other decisions that affect how capital markets are overseen, a top securities regulator said today.

Discovery Capital Management LLC, the $15 billion macro-economic hedge fund run by Rob Citrone, is betting on a strengthening economy in Mexico, echoing comments from money managers including Laurence D. Fink’s BlackRock Inc. and Bill Gross’s Pacific Investment Management Co.

As tens of millions of baby boomers enter their golden years, Bank of America Merrill Lynch has appointed its first gerontologist to help advisors address clients' age-related concerns.

Morgan Stanley turned more bearish on sovereign and corporate debt in emerging markets as declines in their currencies accelerated and funding costs increased.

Community bank leaders entered 2014 with a rosy view of their companies' prospects, according to a new survey from Abound Resources.

From regulators' crossed signals to perceptions of subpar service, what follows are the most notable quotes from the past week's stories.

As the Financial Services Institute marks its tenth anniversary, the trade group is focused on expanding its advisor membership and ramping up its advocacy on legislation and regulation at the state level.

The stage may be set for a settlement after a judge denies the board's attempt to quash discovery & allows the Camardas' request to seek monetary damages.

The number of CFP professionals worldwide rose by 3.76% in 2013.

Western Asset Management, a unit of Legg Mason, will pay more than $21 million to settle charges of defrauding clients, the SEC said.

The world's biggest bond manager plans to start 19 actively managed exchange-traded funds as Gross further diversifies the firm following CEO El-Erian's resignation last week.

Schwab reported $742 million in donations to charities for 2013, a 36% increase compared to 2012 and its largest percentage jump in more than five years.

Clients often worry about the IOUs in the trust fund, which, while literally true, is unnecessarily alarmist. In the investment world, we call them bonds and they're not so scary.

The Federal Reserve Board on Friday announced additional supervisory expectations for eight of the largest U.S. banks as part of their preparedness for future crises.

Critical deficiencies in data gathering and reporting and measuring key risks persist across regulatory agencies, according to a professor at the Smith School of Business at the University of Maryland.

BlackRock Chief Executive Officer Laurence D. Fink warned there is "way too much optimism" in financial markets as he predicted repeats of the market turmoil that roiled investors this week.

Bank of Nova Scotia's ING Direct unit sees growth potential in wealth management after it completes efforts to add deposits and customers and introduces a credit card, said Peter Aceto, who heads the business.

President Obama is far removed from his harsh criticism of big banks coming out of the crisis, but his State of the Union speech Tuesday night could still provide a crucial glimpse into the administration's thinking on financial policy issues.

One-third of Swiss banks offered amnesty by the U.S. for helping Americans evade taxes have applied for the program, a federal prosecutor stated at a Jan. 25 conference, according to three lawyers.