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Financial advisors vary greatly in their approach and use of written investment policy statements with their clients, including some who don’t use these statements at all, according to Russell Investments’ latest quarterly survey of U.S. advisors.

Despite a rally in the equity markets, February proved to be a lackluster month for Raymond James Financial.

Sentinel Investments has promoted three of its portfolio managers.

In 2012, banks sold $29.6 billion in annuities, down 20% from 2011. Fixed annuities fell 33% to $11.9 billion, while variable annuities slipped 10% to $17.7 billion.

Overriding client emotions and persuading them to do what they ought to do can be tricky. According to a new study, only 39% of advisors say they work with all clients to develop a written investment policy statement, which can guide clients' strategy in times of flux.

Regulators and academics are starting to look at low volatility as an integral part of the buildup toward financial meltdowns.

Heather Borelli, a former senior associate of Abbot Downing, will provide clients of the bank’s Private Client Reserve unit with integrated investment services.

In the world of trust and estate administration, where tax planning typically involves special attention to federal tax law compliance, it’s easy to lose focus on state income taxation issues. And while some states do not tax income related to trusts, states that do tax trust income have a variety of rules and criteria for which trusts are subject to tax.

For the week ended March 13, investors steered a paltry $1.64 billion into bond funds, a whopping 74% drop from the $6.42 billion they poured into the funds a week earlier.

Advisors need to position themselves to help clients navigate the new tax landscape, particularly when it comes to juggling the variety of mutual funds in a client's portfolio.

Insiders’ knowledge of a company’s advertising expenditures is a strong information advantage when it comes to trading.

Clients feel their advisors often recommend products that do not fit their risk profiles.

Institutional investors held around half of total equity exchang-traded fund assets in 2012, according to a new report from Strategic Insight.

Charles Schwab is deepening its dedication to technology with a new agreement with DST Output.

Federal Reserve Board Chairman Ben Bernanke on Wednesday said regulators would take additional steps to eliminate the problem of "too big to fail" if current efforts fall short.

Charles Schwab deepens its dedication to technology with a new agreement with DST Output.

The ongoing collaboration between the division of the SEC that examines fund adviser and broker operations and the division that enforces violations of investment regulations is now “very seamless,’’ according to heads of those units.

A bipartisan pair of lawmakers introduced legislation that would make it easier for workers to repay loans or withdrawals they take from their employer-sponsored 401(k) plan, drawing praise from a leading trade group representing retirement-plan advisors.

Institutional investors held around half of total equity exchang-traded fund assets in 2012, according to a new report from Strategic Insight.

A Financial Industry Regulatory Authority arbitration panel’s rejection of compensatory damages requests from both Morgan Stanley and one of its former brokers is the latest example of how deals for sign on bonuses can sour when a new position does not work out.