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Over the next 12 months, it plans to open four more wealth management centers, possibly outside its current footprint.

Views are mixed on the impact of the recent Securities and Exchange Commission decision to lift the general solicitation ban on private securities offerings.

Research conducted by ING U.S. underscores the growing role that retirement income planning continues to play in the readiness levels of working Americans. The study, Retirement Income Redefined, highlights some potential discrepancies in retirement planning ideologies and practices, and reinforces how retirement is being fundamentally redefined.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

Edward Jones’s James Weddle and Robert Keenan of St. Bernard Financial Services Inc. were elected to the Financial Industry Regulatory Authority’s Board of Governors at its annual meeting.

There are plenty of myths about women and money and it's important to bust these myths wide open. But people also have misconceptions about men and money. Here are just a few.

After a strong response to our summer reading list for advisors, we decided to expand it. Here are the 20 books that financial advisors said -- via Twitter, LinkedIn, emails and phone calls -- were crucial to their practices.

Even Federal Reserve Chairman Ben Bernanke finds gold prices confusing, so how will advisors react to a gold bullion mutual fund?

UBS AG will pay almost $50 million to settle U.S. Securities and Exchange Commission claims that a brokerage unit violated securities laws in the structuring and marketing of a collateralized debt obligation.

There are key differences between hybrid advisors and dually registered advisors -- but even some industry veterans don't seem to understand it.

The firm has added an 18-year industry veteran to its Greenville, Del., branch office as a vice president of wealth management.

Northern Lights Distributors, announced the upcoming launch of an educational series to provide advisors with information detailing each step of the mutual fund distribution process.

The Consumer Financial Protection Bureau is losing senior officials faster than it can replace them, raising concerns that the agency may struggle to maintain the aggressive pace set during its nearly two years of existence.

Survey results showed that more than three-quarters (77%) of high-net-worth investors expect to beat or match the market this year with approximately half (48%) feeling the stock market is appropriately valued and 17% feeling it is undervalued.

In recent months more than a dozen senior officials have left the agency, including its chief of staff, Garry Reeder, and chief operating officer, Victor Prince.

You must spend money to make money, the saying goes. Analysts just wish community banks would spend a lot less.

In TD 9626, the IRS issued final regulations under Section 337(d) of the Tax Code to provide guidance concerning certain transfers of property from a C corporation to a regulated investment company or a real estate investment trust.

Flexible Plan Investments recently partnered (as sub-advisor) with Advisor Preferred to launch The Gold Bullion Strategy Fund (QGLDX), the industry's first gold bullion fund offered to retail investors through a mutual fund product, which began trading at $25 per share on July 8.

Janus announced some high-ranking executive changes recently.

A FINRA arbitration panel has ruled that Citigroup and one of its former branch managers must pay an investor more than $11 million combined in compensation for losses related to an investment in a foreign bank.