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Fidelity Investments, the second- biggest mutual-fund provider, has opened the cheapest lineup of single-industry exchange-traded funds as it seeks to break into a market dominated by Vanguard Group Inc. and BlackRock Inc.

JPMorgan, under siege on multiple fronts by state and federal prosecutors investigating alleged wrongdoing at the largest U.S. bank, is in talks with federal prosecutors in New York to resolve allegations it helped facilitate Bernard Madoff’s crimes.

The most important reason to engage in pro bono work is to help those who are in need of free advice. But pro bono work can also pay off in other ways.

The Securities and Exchange Commission has voted unanimously to propose rules under the JOBS Act allowing companies to offer and sell securities through crowdfunding.

A renewed federal emphasis on financial literacy education could have an ancillary payoff for the financial planning profession: more new planners.

Raymond James Financial, the brokerage that acquired Morgan Keegan & Co. from Regions Financial last year, posted a quarterly profit that rose 41 percent on a one-time tax benefit.

Clients often walk in the door with an idea about how they’d like to leave their assets. It’s an advisor’s job to help them understand issues they may not have considered.

Job insecurity has focused attention on the need for emergency cash.

The industry veteran, who comes from Merrill Lynch, will be president of the firm's registered broker-dealer, ING Financial Partners.

With recent changes in marital laws, more gay couples are seeking the counsel of financial advisors to help them navigate the complex legal and financial landscape that comes with being in a same-sex partnership.

A former UBS AG banker surrendered to U.S. authorities to face a 2011 indictment that he conspired to help wealthy Americans evade taxes by hiding accounts in a smaller Swiss regional bank.

The owners of the world’s largest brokerages say the days of paying big bonuses to lure each other’s brokers and keep their own in place may be ending.

Aberdeen Says in Talks to Acquire Lloyds’s SWIP Division

Franklin Profit Climbs 3.4% as Global Stock Rally Boosts Assets

Pacific Investment Management Co. doesn’t hold Puerto Rico debt in its tax-free funds, and the company predicts that a lack of improvement in the island’s finances may increase volatility in other municipal securities.

Public pension funds have been moving huge amounts of money into alternative investments managed by Wall Street.

Almost three in four millionaires (73%) and almost as many mass-affluent investors (72%) reported being satisfied, up from 72% and 69%, respectively, last year.

Three investment advisory firms have been sanctioned by the SEC for repeatedly ignoring problems with their compliance programs.

Clients’ desire for principal protection plus profit potential has benchmark-based products booming.

Wealth management services generated $7.5 million in revenue, up nearly $2 million, or 34%, from $5.6 million in the same quarter last year.