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In a recent poll of wealthy individuals, men were thought to feel more stress if their wives were the primary financial decision-maker than women whose husbands were the financial decision-maker.

A tightening of municipal bond yields in various pockets of the secondary market highlighted an otherwise quiet trading session Monday.

FINRA Rule 2090 will impose a new requirement on many firms, that of “knowing your customer.” Firms that have not previously been subject to a Know-Your-Customer requirement are determining what facts it deems essential in connection with servicing an account.

The industry veteran will be chief counsel and chief compliance and ethics officer in the in the Office of Compliance Inspections and Examinations.

Provided it kept costs in line and has no bad surprises to announce Friday, Wells Fargo could steal some of the glow normally monopolized by JPMorgan Chase during earnings season.

AdvisorShares is teaming up to with Your Source Financial, a Phoenix, AZ-based investment advisor, to launch the Global Alpha & Beta ETF (RRGR) on July 11. Roger Nusbaum, chief investment officer of Your Source Financial, will serve as the portfolio manager of RRGR.

On July 10, 2012, The 32-year wait for a comprehensive record-keeping system to monitor trading across U.S. equity and options markets is approaching conclusion.

MFS Investment Management was founded in 1924 and is one of the oldest asset management companies in the world, operating roughly 60 mutual funds.

June was a terrific month for the market overall, but these stocks didn't deliver the goods last month.

The Dow Jones Industrial Average trimmed 36.18 points Monday to close at 12,736.29 while the Nasdaq and S&P 500 shed 5.56 points and 2.22 points, respectively.

As financial professionals grapple with a new regulatory mandate for the suitability of investment advice, a leading industry advocacy group is continuing its opposition to two key provisions of the new rules from the Financial Industry Regulatory Authority (FINRA) that took effect Monday.

San Francisco, Calif.-based consulting shop Callan Associates has hired today Yosangel G. Haddad as vice president, based in Callan’s new location in Summit, New Jersey.

“The relationship with Orizon will allow us to provide focused, innovative wealth solutions to clients in an increasingly diverse geographic area, which is something our clients have been requesting," said Martin C. Bicknell, Mariner's CEO.

Global X Funds, the New York based provider of exchange traded funds, is changing the index, name, ticker, expense ratio and investment objective of the Global X S&P/TSX Venture 30 Canada ETF (Ticker: TSXV).

On July 9, 2012, AQR Capital Management has added four mutual funds, including AQR U.S. Defensive Equity Fund (Class I/AUEIX), AQR International Defensive Equity Fund (Class I/ANDIX), AQR Emerging Defensive Equity Fund (Class I/AZEIX) and AQR Risk-Balanced Commodities Strategy Fund (Class I/ARCIX), to its portfolio.

Investors sold in May, but then they didn’t go away. Here’s a closer look at the top-performing S&P 500 stocks in June. Also see: June Swoon: 20 Worst-Performing S&P 500 Stocks 10 Dividend-Paying Stocks Your Clients Will Want in 2012 5 Best-Performing Growth Mutual Funds This Year May Flowers: 10 Best-Performing S&P 500 Stocks May Flounders: 10 Biggest S&P Laggards

Michael Hull and Patrick Hull created bluepoint after leaving Morgan Stanley Smith Barney, where they had been institutional consulting directors of Graystone Consulting.

As chair of the Disciplinary and Ethics Commission at the CFP Board of Standards, certified financial planner Chris Beard takes his role seriously. "Our role is to be the gold standard in financial planning," he explains.

Financial services-focused private equity shop Lightyear Capital LLC has appointed Jerry W. Miller, former president and chief executive officer of Van Kampen Investments, as a senior advisor on behalf of its affiliated funds.

Steve Wershing, "The Referral Doctor," says it’s not your people that make clients happy but what your people do. And understanding that distinction is crucial for firms that want to add and retain clients and the staff to service them.