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A review of auditors that examine broker-dealers has unearthed an array of deficiencies in the process the firms use to evaluate their clients, including numerous of infractions that could amount to violations of SEC or FINRA rules.

UBS AG is starting a unit aimed at quantitative hedge funds that combines prime brokerage and services from its direct execution trading business.

Advisor-owned financial services firm HighTower has snapped up a Credit Suisse advisor team with about $1 billion in assets under management, marking the eighth team to move to the firm this year.

How might the world have been different if, starting 10 years ago, every would-be home buyer had access to a free and independent tool that showed them - in highly personalized and granular detail - precisely what they could and could not have afforded to buy? Would there have been a real estate crash at all?

Columbia Management is planning to further expand into the actively managed ETF space with 17 new ETFs.

Marketing expert Marie Swift says basic seminars are no longer a client magnet. Successful financial planners must be educators, networkers, and online trailblazers. Here are some ideas to get you started.

August's Top 5 Equity Vesting Awards

Chris Kirby says financial advisors often become hostages of their own "to-do" lists. That's why it's so important to create and adhere to a list of things that you're not going to handle so you can focus on the most important (and revenue-generating) tasks.

Prudential Financial Inc. has emerged as the lead bidder for Hartford Financial Services Group Inc.'s individual life insurance business, which may sell for about $1 billion, said two people with knowledge of the matter.

Starting a hedge fund is much different from launching other kinds of companies. Most significantly, there is almost no chance that you will be able to start this business out of a garage. No -- to get a hedge fund up and running, you need buckets and buckets of cash.

Lifelong income solutions for defined contribution plans are on the way. With defined benefit plans waning and life expectancy waxing, more retirees will need more guaranteed income than Social Security can provide.

The gap between U.S. bank deposits and loans is growing at the fastest pace in two years, providing lenders with more funds to buy bonds and temper the biggest sell-off in Treasuries since 2010.

Closed-end fund assets increased $1.61B during Q2. Equity fund assets decreased by $1.5B to $96.21B, and bond fund assets increased by $3.11B to $153.39B.

Assets of institutional money market funds increased by $13.17B in the last week, the third largest inflow of institutional money since the end of March.

The Securities and Exchange Board of India is preparing to take a number of steps to reenergize the mutual fund industry in India.

The tax-exempt market ended on a steady tone Friday after weakening during every other trading session.

The Dow Jones Industrial Average scampered up 25.09 points Friday to finish at 13.275.20 while the Nasdaq and S&P 500 added 14.20 points and 2.65 points, respectively.

Principal Funds has rolled out the Principal Opportunistic Municipal Fund, which can invest across a broad range of credit qualities, durations and geographic exposures.

Municipal debt funds stayed on track for the 18th consecutive week of net inflows, this time for $0.9 billion.

A 20-year industry veteran, Jeff Smith will help build out the firm's D.C. office as a non-producing branch manager.