Subject Root Tag

The SEC has conducted routine inspections of FINRA’s advertising and arbitration programs, but not as frequently as it had planned.

Paul R. Turner joins Huntington Insurance as managing director of the Pittsburgh and West Virginia regions.

On June 1, 2012, shareholders of the Invesco Commodities Strategy Fund this week approved a merger of the fund into the Invesco Balanced-Risk Commodity Strategy Fund.

Triad Advisors, a subsidiary of Ladenburg Thalmann Financial Services Inc., announced that Texas-based, Karsten Advisors has joined Triad as an independent branch office.

Estateplanning.com provides consumers with information on a range of planning topics such as elderly care, inheritance, asset protection and disability. It features a legal glossary and an interactive search function that allows users to connect with estate planners in their area.

The AlphaClone Alternative Alpha ETF has begun trading today, launched by Exchange Traded Concepts and AlphaClone LLC.

The big story in the municipal market this holiday-shortened week was the Treasury market.

The investment bank FBR may put its asset-management business up for sale and, if it does, it is likely to draw significant interest from commercial banks.

Chief Executive John Stumpf said during an investor conference in New York Thursday that the bank is in the market to buy insurance companies.

On June 1, 2012, Thomson Reuters acquired the mutual fund database business of The Globe and Mail, the Toronto-based newspaper and mutual fund information service provider.

While it's true that some community banks struggle to remain solvent, others are thriving. Several factors contribute to this industry's optimism.

By 2014, U.S. retail banks should see revenue from their wealth management units hit more than $80 billion, according to consulting firm Booz & Co. Unfortunately, banks haven't exploited this opportunity too well.

The industry lurking in the background of bank brokerage, the third-party marketers, is undergoing a sea change. Who will come out ahead?

You can teach classes, you can advertise or you can flat-out buy new clients. But whichever strategy you take, you need to be committed because it's not easy.

Private bank clients are more income-focused. How can advisors help them preserve capital across generations?

Stocks shunned for alternative investments

What do you do when spouses who are both clients have very different interests?

How to create win/win relationships with other professionals.

Consolidation is everywhere so it pays to keep your eyes and ears open for opportunities.

Advisors need to redefine their role when it comes to wealthy families and their heirs.