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Knight Capital Group said its volume of trading in U.S. equities fell 19.3% in December, compared to November. Its volume also fell 3.5% from a year earlier.

Bank of America’s Global Wealth and Investment Management business saw its 2011 fourth quarter net income decline 22% compared to the fourth quarter of 2010 as lower transactional activity offset higher net interest income and asset management fees.

New York-based RIA firm HS Management Partners has hired Robert Gebhart as its new senior vice president and senior investment officer.

HSBC Global Asset Management has hired Damion J. Hendrickson as a senior vice president and head of RIA sales.

Exchange-traded funds are like stocks. Except they're not. They’re sort of like mutual funds, but not really. Here’s a glossary of ETF terms to help clear things up.

Exchange-traded funds are like stocks. And mutual funds. Except they're not. Here's a glossary on how ETFs really operate.

The Securities and Exchange Commission has joined the U.S. Department of Justice in approving the merger of NYSE Euronext with Deutsche Boerse.

The SEC has joined the U.S. Department of Justice in approving the merger of NYSE Euronext with Deutsche Boerse. Now the only remaining hurdle is obtaining approval from competition commissioners of the European Commission.

The CFP Board is seeking input and guidance from planning professionals as it considers changing the way it currently investigates bankruptcies among planners.

inShare WASHINGTON — The regulators charged with implementing the Volcker Rule have posed a whopping 1,300 questions to the public, but on Wednesday, they fielded one query they seemingly hadn't considered.Rep. Michael Grimm, R-N.Y., described a scenario in which a foreign firm with no U.S. operations sells a security, as a part of a proprietary trading strategy, to an American firm.

Investors steered $1.43 billion into stock mutual funds during the week ended Wednesday, Jan. 11, breaking a near nine-month spell of investor redemptions that totaled more than $172 billion, according to the latest statistics from the Investment Company Institute.

Investors opened their wallets Wednesday following an upbeat report from home builders and word that Greece is nearing a deal with its private creditors that would bring some much-needed stability to the region.

Steve Sanduski, The Prosperous Advisor, offers up advice for fast-growing firms experiencing “big company” issues that can either derail their practices or, if handled properly, start them on a new growth curve.

When it comes to acquiring and retaining clients, social media channels are on their way to becoming as important as traditional media channels for wealth managers, according to a study from Celent.

Investors steered $1.43 billion into stock mutual funds during the week ended Wednesday, Jan. 11, breaking a near nine-month spell of investor redemptions that totaled more than $172 billion, according to the latest statistics from the Investment Company Institute.

Financial planners know all too well how difficult it can be to get their clients motivated enough to make the sacrifices and investment decisions that are necessary to ensure a comfortable retirement. But what could possibly derail the retirement plans of those clients who are already doing everything right?

Financial planners know all too well how difficult it can be to get their clients motivated enough to make the sacrifices and investment decisions that are necessary to ensure a comfortable retirement. In fact, according to a recent ING Retirement Research Institute study, 71% of Americans – regardless of age – still lack a formal investment plan to help them reach their retirement goals. And the latest Retirement Confidence Survey from the Employee Benefit Research Institute found that more than half of all respondents are either “not at all” or “not too confident” that they’ll be able to afford the retirement and lifestyle they desire once they’re done working. This reality is keeping far too many Americans up at night, worrying about an uncertain economic future at a time when they’re living longer, retiring later and – most disturbing for many – have seen the value of their homes plummet virtually overnight. But what about those clients who have done everything right? They’ve been working with a financial planner, contributing to their 401(k)s, maybe have a pension in the offing, are saving money at a decent clip and are following the sound investment advice offered by the professionals but, according to Fidelity Investments, there's still a good chance they might not have enough put aside to live out their golden years in style. Here’s an interactive slide show detailing five of the biggest threats to even the most well-prepared investor's retirement plan. Source: Fidelity Investments

More than 14 years ago, Jane Norberg worked with confidential informants in planning, organizing and conducting investigations of federal crimes. Now she's the SEC's new deputy chief of the Office of the Whistleblower.

The Financial Services Institute has gained another 225 members, as Mountain View, Calif.-based broker-dealer and RIA Foothill Securities announced it has signed up all its advisors.

Most logical path to the future growth of wirehouses is through their largest advisor teams.