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Researchers have developed a model that uses data from Twitter to help predict the volume and value of a stock in an upcoming trading session.

Great-West Retirement Services has appointed Carey Lindsey as regional sales director for Houston.

Deutsche Bank’s Management Board is expanding the Group Executive Committee from 12 to 18 members, effective June 1.

The Emerald Mutual Funds have made their way home to the investment advisory firm that founded the fund family in 1992.

Third-party administrator CPI Qualified Plan Consultants, Inc. today revealed it added the Alta Trust Tactical Advantage collective investment trust funds to its retirement plan platform.

It might sound elementary but legal eagles from some of the country’s biggest law firms convened today at the ICI Mutual Fund conference in Phoenix, A.Z. to drive home the importance of disclosure when it comes to mutual fund registration.

Omnibus accounts consolidate the trade activity of multiple shareholders in an investment vehicle into a handful of trades, making it difficult to identify individual shareholder activity. How do in-house counsel and mutual fund boards make sure that their omnibus accounts are on the up and up with regulators?

Financial services firms, advisors and brokers can get themselves caught in their own tracks on social media, worrying excessively about SEC rules on disclosures, marketing and communication, but Rajib Chanda, a partner with the Boston-based Ropes & Gray regulatory law firm, says the guidance out there is actually “pretty flexible.”

You may think your firm runs like a well-oiled machine. But what happens if you think again?

Financial services firms can get themselves caught in their own tracks on social media, worrying excessively about Securities and Exchange Commission rules on disclosures, marketing and communication, as well as Financial Industry Regulatory Authority guidelines. Here's what to do.

The Dow Jones Industrial Average shed 68.94 points to close at 13,170.19 Tuesday while the Nasdaq and S&P 500 lost 4.17 points and 4.23 points, respectively.

The financial advisor industry has expanded its share of bond deals advised over the last 13 years. Simultaneously, the top-10 firms’ share of the FA business has gone up and down and up again, but in the long term seems generally to be increasing.

Advisors may still feel a bit awkward as well as worried about compliance when they use social media, but they’re definitely using it to build their brands and businesses, according to a new SourceMedia study.

A former Morgan Keegan registered rep agreed to be barred permanently from the industry for putting 10 of his middle-class clients into “unsuitable” investments –- highly leveraged ETFs, regulators said.

Because of its increasing complexity and impacts on financial firms beyond banks, firms that run registered investment funds are suggesting that the Volcker Rule gets ‘re-proposed’ before it goes into effect in July.

Robert W. Baird & Co. has snapped up 12 financial advisors with a total of $1.93 billion in client assets under management.

Because of its increasing complexity and impacts on financial firms beyond banks, firms that run registered investment funds are hopeful that the Volcker Rule gets ‘re-proposed’ before it goes into effect in July.

Legacy expert attorneys Andy and Danielle Mayoras – along with everyone else – have now had a chance to take a look at Whitney Houston’s will. That the deceased music superstar opted for a will rather a living trust points to some shortcomings in her overall estate planning strategy.

PIMCO and the Vanguard Group received the highest favorable ratings from prospective institutional investors amidst leading asset managers, according to a new study released by Cogent Research.

RBC Wealth Management has established a new office in Raleigh, N.C., staffed with a six-member team of financial advisors and associates.