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Federal Reserve Board Chairman Ben Bernanke said Wednesday that regulators are making steady progress on a number of critical rules under the Dodd-Frank Act, predicting that several final rules will be released in the coming months.

Cetera will provide the Wells, Minn.-based bank with wealth management services and support, including the investing tools clients need.

The House Financial Services Committee on Wednesday approved a slew of bills that would slow the pace of regulatory proceedings to expand advisors' fiduciary responsibilities and relax registration requirements, among other measures.

Christian Thwaites has stepped down as president and chief executive officer of Montpelier, Vt.-based Sentinel Asset Management to pursue other opportunities, according to the firm.

Portland, Maine-based Forum Investment Advisors has launched the Forum ETF Trust, a series trust designed for independent investment advisers to launch and operate actively managed exchange-traded funds ETFs.

With FINRA clearly stating its social media guidelines, the question many advisors are asking themselves is this: what do I do now? Luckily, there are three simple steps to avoiding regulatory fines and keeping your advisors actively online.

State Street Global Advisors, the investment research and trading arm for Boston-based State Street, said it will lose Global Equities CIO Alistair Lowe as it plans to transition toward combining various investment disciplines.

A targeted examination letter probes firms for detailed information on their social media use as the regulator grows more serious about enforcement.

The mutual-fund industry, in what may be the last round of lobbying against tighter rules for money-market funds, rejected a scaled-back proposal to force only the riskiest funds to give up their stable $1 share price.

It’s no secret that the Investment Company Institute is opposed to proposals by the Securities and Exchange Commission to float the net asset value of money market funds and ICI President and CEO Paul Stevens today reiterated the group’s stance on the SEC’s proposal.

Investors pulled $13.34 billion from mutual funds for the week ended Wednesday, June 12, according to data from the Investment Company Institute.

Paul Jablansky, the head of structured products at fixed-income manager Western Asset Management Co., has left the unit of Legg Mason.

Global asset managers are looking to get their investment data management house in order, according to a study released by DST Global Solutions.

Raymond James announced Wednesday it hired Claire Friedrichs as first vice president of investments.

The Bakersfield, Calif.-based financial institution was drawn to LPL’s retirement planning capabilities, technology platform and in-house insurance services.

Less than 52% of financial advisors describe life insurance planning as a successful aspect of their business, but this doesn’t have to be the case. Check out some strategies to make it a core element for you.

LPL Financial, the nation’s largest independent broker-dealer, has reached $50 billion in total RIA assets under custody, doubling its year-ago total.

One source of an advisor's referability isn’t the advisor at all; it’s their support staff – be it client assistants, receptionists, para-planners, and other associates. Bill Cates says how your staff represents you can be a limiting factor in your referability. Check out some of his thoughts and ideas to help ensure all the members of your team make a positive contribution to your ability to generate referrals

The Securities and Exchange Commission would like to hear from advisors. That was the resounding message of a speech delivered Tuesday by Norm Champ, the director of the SEC's Division of Investment Management, the unit of the commission that oversees federally registered investment advisors.

When the Department of Labor produces its controversial proposal to extend fiduciary responsibilities to certain advisors to retirement plans later this year, the plan will come with a robust economic analysis making the case for new regulations, along with targeted exemptions to the rules, the senior official who is leading the effort said on Tuesday.