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The U.S. Department of Labor's new regulations on 401(k) fee disclosures will serve as a wake-up call to plan sponsors and participants alike, once they stop hitting the snooze alarm, that is.

Last month fewer broker-dealers closed their doors and fewer new ones opened them - a drop in overall activity that appears to be the product of three factors, according to David Alsup, director of business development for The Compliance Department, a consulting firm that regularly tallies these numbers.

The husband and wife team had lots of experience. They had worked at large mutual fund shops, then struck out on their own .They got to $20 million in assets, mostly from friends and family. Then, he died.

Global X Funds, the New York-based provider of exchange-traded funds is liquidating four funds next month.

Federated, which bought more than $4 billion in money fund assets from Fifth Third earlier this month, has folded some $929 million in assets of Performance Funds Trust into its portfolio.

Bank of America Merrill Lynch has named Morgan Stanley Smith Barney executive Michael Maghini to serve as head of insurance and annuities as the firm looks to capture more of the baby boomer market.

Federated Investors is on a roll.

Almost 79% of small business owners believe that their annual revenue will increase or remain unchanged in the next twelve months, according to the findings of Western Union's Small Business Barometer survey.

Global X Funds, the New York-based provider of exchange-traded funds is liquidating four funds next month.

WisdomTree is betting that its latest exchange-traded fund, WisdomTree China Dividend ex-Financials ETF (CHXF), will satisfy investors’ appetite for Chinese dividend-paying stocks outside of the financial sector.

At 80 million strong, Generation Y represents a bigger opportunity than their Boomer parents for planners. But members of this generation neither think nor behave like their elders, according to a new white paper.

JHS Capital Advisors opens a new office with Mark Hennings as Branch Manager and advisor

The Financial Industry Regulatory Authority has fined Merrill Lynch $500,000 for failing to file or promptly file certain required disclosures that the independent regulator argues resulted in hidden investment risks and possible harm to investors.

No, not that Bush.

RBC Global Asset Management has added Tom Heflin and Christina Cryer to further drive the expansion of the firm’s distribution team.

Putnam Investments is looking help shorten the learning curve for advisors when it comes to social media.

INDIANAPOLIS-The husband and wife team had lots of experience. They had worked at large mutual fund shops, then struck out on their own.

Known for its cutting edge use of technology, Putnam Investments released a new technology-focused blog specifically for financial advisors on Monday.

Growth is essential to the advisory industry, but not all growth is good. Rather than letting growth take advantage of you, it is time to strive for sustainability.

The total assets held by money market mutual funds slipped to $2.568 trillion, falling by $10.3 billion, for the week ended Sept. 19, according to data from the Investment Company Institute.