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Expect more financial regulatory changes, Schwab executives suggested Thursday -- and be wary of a new recession if Congress and the new administration don’t take steps to keep the country from going all the way over the so-called fiscal cliff

Broadridge Financial Solutions has made two executive appointments to fill out its management team.

The New York-based technology services company promoted Tim Gokey to chief operating officer and hired Stephen Racioppo, a former executive at Accenture, as its chief revenue officer.

President Barack Obama’s re-election means his administration will push to let tax cuts enacted during the George W. Bush era expire for high earners, as scheduled, at year-end. Obama wants to increase the top federal income tax rate to 39.6 percent from 35 percent, boost rates on long-term capital gains to as much as 23.8 percent, and shrink exemptions from estate-and-gift taxes.

Total estimated outflows from long-term mutual funds were $488 million for the week ended Wednesday, October 31, according to data from the Investment Company Institute.

The firm has hired Harold Langer, a three-decade industry veteran, to be senior vice president at the Tucson branch.

If there is a constant in the investment advisory landscape, it’s change. And few things are changing faster than the independent sphere.

The average 401(k) balance reached its highest-ever at $75,900 at the end of the third quarter, Fidelity Investments, one of the nation’s largest 401(k) providers, reported Thursday.

With Obama in office for a second term, the markets are likely to do well, the fiscal cliff will probably be resolved and Dodd-Frank and Obama's healthcare legislation are here to stay, said current and former MFS investment experts during the firm’s post-election webcast for financial advisors.

Liberty Street Advisors has launched the Capital Innovations Global Agri, Timber and Infrastructure Fund (INNAX, INNCX, INNNX), to bet on global stocks in agribusiness, timber and infrastructure.

It is “a fantastical suggestion” that the bank and its management knew and approved of Adoboli exceeding risk limits, prosecutor Sasha Wass told the London jury in closing arguments Thursday.

Evercore Partners Inc., the advisory firm founded by Roger Altman, agreed to purchase Mt. Eden Investment Advisors LLC, a San Francisco-based wealth manager with $645 million in client assets.

Heading into 2013, check out some topical tax management strategies from Envestnet.

Tim Ryan says focus should be on moving forward with Dodd-Frank and addressing the fiscal cliff.

The elections mostly delivered the status quo, but raised a host of questions about how lawmakers will tackle the fiscal cliff, big bank breakups and housing finance reform.

In the wake of Obama's re-election, there is much that won’t change said MFS experts in a post-election webcast. Historically markets have done better under Democratic Presidents, but even more important is the business cycle and the shape the of U.S. economy.

As advisors scramble to make an impression on prospective clients, one valuable tool is becoming increasingly apparent – blogging.

As social media increasingly becomes the preferred medium of communication for clients, it is in the best interest of advisors to develop a successful blogging strategy to keep existing clients close (and prospective clients coming.)

While many finance firms have developed their own applications, technology expert Bill Winterberg analyzes and ranks at the top eight asset and investment manager apps for advisors.

“Last night’s speech showed that he knows that he needs the whole country engaged and to work with him,” BNY Mellon Investment Management CEO Curtis Arledge said of President Obama.