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There are certain questions RIAs should ask before making a transition to a new broker-dealer. Pat McEvoy, President of Woodbury Financial Services, spoke with Financial Planning about his thoughts on what these questions should be.

The Government Accountability Office report on muni bond transactions released in January said that retail investors paid an average 2.5% markup when buying $5,000 worth of municipal securities in the secondary market.

Investment Company Institute President and CEO Paul Schott Stevens argues that the SEC's upcoming proposal to tighten the regulation of money market funds will harm investors, damage financing for businesses and governments and jeopardize the economic recovery.

Deutsche Boerse Group said it will be “gradually expanding” its global network this year.

The Dow Jones Industrial Average added another 45.79 points Friday to close at 12,949.87, pushing the index up 6% so far for the year.

Key Additions at Northern Trust Alternatives; MMI Appoints Lensing and Ledbury as VPs; Stephenson and Klaas Join Heartland Marketing; Eze Castle Promotes Holden to CFO

This is not about your father's index.

Equities Order Flow Drops for Third Straight Year; BNY Mellon Develops Omnibus Platform; Citi to Administer Assets for Credit Suisse

The SEC could be hunkered down conducting cost-benefit analyses on each new rule-making it undertakes, including the scores coming out of the Dodd-Frank Wall Street Reform Act.

The Securities and Exchange Commission (SEC) could be hampered down in conducting oversight and regulatory actions granted back in 1934 thanks to a new bill that passed through the House Financial Services Committee yesterday.

Given the market volatility over the past several years, it’s not surprising there’s a booming market in investing advice. How to sort through it all? One way is to look at what the readers themselves think.

The Great Recession ended 32 months ago. But fear about the sturdiness of its recovery persists.

"A mutual fund seeking current income and capital appreciation by investing primarily in fixed-income securities issued by developed countries, including the U.S. The Fund is not a money market fund. The share performance of this Fund fluctuates on a daily basis."

James Roche is stable asset sales director for Standard Insurance Company's ("The Standard") stable value products (SVPs). Here, Roche walks through the key tenets behind stable value funds.

What happens if the money market mutual fund industry just goes away?

The leadership team for Citi Capital Advisors (CCA) disclosed in a memo yesterday that the global alternative asset management platform for institutional and ultra high net worth investors will soon be under employee ownership separate from its parent company.

Here's a slideshow highlighting the top seven investing advice books on Amazon, sorted by reader reviews.

The asset manager cut about 90 jobs this week, including those of analysts, portfolio managers and distribution workers. AllianceBernstein also will consolidate or close some of its smaller funds.

Gresham Partners, a Chicago-based independent wealth management firm, has named two new principals.

The asset custodian and back-office technology provider is betting that the two systems will enhance the Intelligent Integration platform that it launched almost two years ago.