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Despite President Obama's victory Tuesday, the Democrats' financial policy agenda over the next two years will be far more about defending their past achievements than scoring new ones.

After a $1.9 million loss in the fourth quarter, Southwest Securities' retail group reeled in a $319,000 profit for the first quarter of its fiscal year.

Global exchange-traded funds and exchange-traded products experienced inflows US$13.5 billion of net new assets in October, which is lower than the $40 billion of net inflows in September 2012, according to data from ETFGI.

Peng Chen, current chief executive officer of Dimensional Fund Advisors’ Asia (ex-Japan) subsidiaries and Chairman of Dimensional SmartNest (Dimensional Retirement), is adding another title to his resume.

What are the top financial planning schools nationally? Check out this list to see where the next generation of advisors are coming from (and who the next generation of clients may be working with).

Industry veteran Nicolas Seigal joins RBC’s international wealth unit as branch manager in Miami.

Summit Brokerage Services expanded its team of advisors adding seven advisors over the last five months, the Florida-based company announced Tuesday.

Jeffrey Carney may be looking for new digs and a new gig.

Successful advisors chose their third-party partners wisely so that they can best use their extra time to make a greater impact on the individuals and families they serve.

In response to the damage and disruption inflicted by Hurricane Sandy, the Securities and Exchange Commission will extend the deadline for regulatory filings for publicly traded companies, investment advisors and other regulated entities.

UBS Wealth Management Americas has picked up a trio of Morgan Stanley Wealth Management advisors, as Morgan Stanley has snapped up a new advisor from Chase Investment Services.

Ninety percent of women report feeling insecure when it came to personal finance and 48% of women agree with the statement, “Investing is scary for me.” These statistics highlight the need for financial advisors working with women to foster financial confidence in their clients as part of the client engagement.

Which banks shelled out the most for this election? Among the big name firms, here's a list of the top five donors based on data compiled by opensecrets.org, a nonprofit watchdog group that follows campaign donations. Click through to see where Wall Street's money has gone:

Sometimes, in order to lock in the $5 million estate planning tax exemption, clients gift away their “excess” assets. While gifting is good, and even better if you can avoid taxes by doing it, some clients give away too much, and are no longer able to maintain their standard of living in retirement.

Credit Suisse Group AG and Qatar Holding LLC, a unit of the Persian Gulf emirate’s sovereign- wealth fund, agreed to form asset manager Aventicum Capital Management to boost investments in emerging markets.

Shenkman Capital Management has launched its first mutual fund: the Shenkman Short Duration High Income Fund (SCFIX and SCFAX), which will bet on a diversified portfolio of corporate bonds and other obligations issued by non-investment grade rated companies.

First came “active” management: A pension fund, endowment or foundation hired managers that it felt could get results that “outperformed” the market.

The 20th anniversary is fast approaching of the launch by State Street Global Advisors in 1993 of the first investment fund that could be traded throughout the day like a stock.

More than 40% of states have poor pension funding ratios, Morningstar municipal credit researcher Rachel Barkley said.

The regulatory overhaul put in place by the Dodd-Frank Act of 2010 has dramatically reshaped the compliance landscape for investment advisors, with more small firms moving to oversight at the state level, while many large, private fund advisors now find themselves under the purview of the SEC, according to a new survey of advisors.