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The Financial Industry Regulatory Authority reviewed enforcement case trends at its annual conference in Washington, D.C. this week. Here are 25 top cases from its files.

On May 24, 2012, ICI reports that Total estimated inflows to long-term mutual funds were $3.90 billion for the week ended Wednesday, May 16.

UBS Investment Bank has rolled out a pair of ETRACS Exchange Traded Notes linked to the Dow Jones U.S. Select Dividend Index and the S&P High Yield Dividend Aristocrats Index.

Vanguard is continuing its trend of cutting the legs out from under its competition by eliminating or reducing fees on 34 Vanguard funds.

AdvisorShares has partnered with explorer, social entrepreneur and environmental advocate Philippe Cousteau, Jr. to launch AdvisorShares Global Echo ETF (NYSE: GIVE), an active, multi-manager socially responsible fund.

Majority of workers surveyed plan to put off retirement until after 65, and then find retirement work.

New survey puts the onus on life insurers to work more proactively with the agency force to provide the tools, marketing and advertising support to better educate consumers about life insurance.

On May 24, 2012, AdvisorShares has partnered with explorer, social entrepreneur and environmental advocate Philippe Cousteau, Jr. to launch AdvisorShares Global Echo ETF (NYSE: GIVE), an active, multi-manager socially responsible fund.

The Dow Jones Industrial Average lopped off another 6.66 points to end at 12.496.15 while the Nasdaq and S&P 500 added 11 points and 2.23 points, respectively.

For the week ended May 16, investors pulled an estimated $3.45 billion from U.S. stock mutual funds. That’s $1.10 billion more than they withdrew from the funds a week earlier.

On May 23, 2012, Vanguard announced fee reductions for 34 funds.

On may 23, 2012, UBS Investment Bank rolled out a pair of ETRACS Exchange Traded Notes linked to the Dow Jones U.S. Select Dividend IndexSM and the S&P High Yield Dividend Aristocrats Index.

Webster Bank is rolling out the welcome mat for the consumer it calls the “millionaire next door.”

In cases where an advisor has created a financial plan for a client, Advisor Access now features a hyperlink to the Goal Planning & Management component powered by MoneyGuidePro.

State Street wants to bulk up in Europe and its chairman is telling investors that it is eyeing deals for the custody operations of the continent’s largest banks.

On May 23, 2012, Los Angeles-based Causeway Capital Management LLC has replaced Pzena Investment Management, LLC as subadviser to the Harbor Global Value Fund effective May 25.

Whether it's Facebook, Twitter or LinkedIn, financial advisors need a handy resource to keep them abreast of all the latest rules and trade secrets to capitalize on the social media frenzy without running afoul of the regulators. Here's everything wealth managers need to know.

When it comes to financial planning advice in the social media arena, less is almost always more. Here's what wealth managers need to do (and not do) to service their clients while staying within the regulatory boundaries.

On May 23, 2012, Arrow Investment launched institutional share classes for its funds.

Seven tips come in daily under the program that started in August. Thomas Sporkin, director of market surveillance at the SEC, says two to three each day are high quality.