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The company lost money in the third quarter as it aggressively looked to build assets. At least one investor urged management to take a break from acquisitions during a quarterly call to discuss results.

New registrants with the SEC or veteran advisors who haven't been examined in many years can expect to hear from regulators in short order, a prominent securities lawyer told attendees at Schwab Impact conference.

Wealth management firms seeking to recruit new advisors need to first develop a clear business strategy, executives tell attendees at Schwab Impact conference.

In a business update to CFP holders, the board presents research on its Let's Make a Plan campaign, clarifies its fee-only position -- and skips a discussion of recent controversy.

Despite a recent show of political opposition, the Labor Department seems poised to press ahead with a proposal to broaden the definition of fiduciary to cover advisors working in the retirement plan segment, a leading opponent of the measure warns.

The new model has to be able to serve clients "any time, any place and anyhow," said Bernie Clark, the head of Schwab Advisor Services at the financial service giant's annual Impact conference in Washington, D.C.

Brits May Cap Retirement-Plan Fees, Should We?

ICI: Mutual Fund Investors Lack Comfort With Investment Risk

Banks nationwide agree: Costly branches must evolve to accommodate modern times, but question marks remain on the how. Higher functioning ATMs, tablet-equipped employees, and video tellers are some of the ways financial institutions are testing out new branch models.

BofA Should Pay $863 Million in Fannie Mae Case, U.S. Says

There’s been a steady increase in opportunities for overseas investment and clients’ willingness to include international investments in their portfolios.

BNY Mellon Wealth Management Appoints Three Sales Directors in U.S. and Abroad

FINRA's Watch Over Funds

The answer rests not with the firms but with advisors themselves, says James Kerr, president of Davidson Companies.

Bank of America should pay the maximum penalty of $863 million for selling defective loans to Fannie Mae and Freddie Mac, given the egregiousness of the fraud, U.S. prosecutors told a federal judge.

Firms need technology resources and budget allocation if they want to create a social media program for their advisors.

The new directors will oversee business development in Pittsburgh; Westport, Conn.; and Dubai, United Arab Emirates.

The IRS’s ability to detect identity theft has improved, but billions of dollars were lost to criminals in 2011, according to a new report.

Social media marketing is a key component in an effective inbound marketing strategy, but it’s important to capture the right “voice” on your social media sites.

Demand is high for experienced executives across all channels. While advisor migration to independent RIAs remains the dominant trend, large wirehouse and bank players are also very much in the game for talent.