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A recruiter argues that you should be using and getting as much support as possible in these volatile times.

Turbulent times demand tough action.

The repeal of the 3% withholding tax might actually make life easier for financial planners and their clients.

FINRA and the SEC issued a joint risk alert and regulatory notice Wednesday, advising broker-dealers to make sure they’re mindful of what’s going on within their branch offices and even offering some tips to ensure they remain in compliance.

Broadridge Financial Solutions has linked its fixed income processing platform in Canada to the country’s central securities depository through a new module called ClearancePro.

Long-term mutual funds took in $1.4 billion in the week ended Nov. 22, according to the Investment Company Institute.

Principal Funds has launched the Principal Global Multi-Strategy Fund, which will invest in alternative strategies through specialist sub-advisors to provide income, while combating inflation and market volatility.

More than half of Fidelity's 11.7 million 401(k) participants are in plans that have automatic enrollment, up significantly from 16% five years ago. Furthermore, 73% of the plans Fidelity administers default their participants into lifecycle funds up from 11% in 2006.

Some 60 UBS Wealth Management Americas financial advisors will kickoff a three-month test drive this week of an iPad application designed to make it easier to interact with clients and access research reports — all in the hope of generating more assets under management.

Principal Funds has launched the Principal Global Multi-Strategy Fund, which will invest in alternative strategies through specialist sub-advisors to provide income, while combating inflation and market volatility.

The Pension Protection Act of 2006 is having a positive effect on 401(k) plans, Fidelity Investments said Wednesday.

The average price tag for a data breach now is $7.2 million. How are you supposed to value the loss when your crown jewels – trading algorithms – get put on data sticks or uploaded to remote servers, as happened to Goldman Sachs? And if you're a financial advisor or smaller advisory firm, how do you safeguard data while also taking advantage of social media and mobile devices to service your clients? Here's what you need to know and do to protect your firm and your clients.

The average price tag for a data breach now is $7.2 million. How are you supposed to value the loss when your crown jewels – trading algorithms – get put on data sticks or uploaded to remote servers, as happened to Goldman Sachs? Or you have to face down billions in verified losses, because you couldn’t control “unauthorized trading,” as occurred to UBS? And if you're a financial advisor or smaller advisory firm, how do you safeguard data while also taking advantage of social media and mobile devices to service your clients? The National Security Agency has begun providing Wall Street banks with intelligence on foreign hackers, a sign that financial sabotage from abroad is imminent, if not already in progress, in the estimation of Booz Allen Hamilton. Here are the Top 10 Financial Services Cyber Security Trends to act on in 2012 and recommendations on what to do about them, from senior vice president Bill Wansley.

Three-quarters of small business owners believe that so many Americans are financially unprepared for retirement that the problem has reached the level of a crisis, but only about a fifth of them actually offer their employees a 401(k) or similar plan, according to a new survey.

FINRA has sanctioned eight firms and 10 individuals for selling interests in private placement offerings “without having a reasonable basis for recommending the securities,” the regulatory agency said in a statement. The sanctions included ordering more than $3.2 million in total restitution.

Many mass affluent investors have not seen their financial situations improve in the past year and list not saving more toward their 401(k) plans and children’s college funds as top regrets, according to a new report released by Bank of America.

On Wall Street identified the most prolific asset managers under 40, and these five came out on top for the regional firms.

Most people never do the type of research required to get into the right career in the first place. So we’re here to help with a package of articles to help you determine your own profile.

Nearly two-thirds of plan sponsors have changed the investment lineup in their 401(k) plan in the past year, up markedly from a mere 20% in 2008, according to the Profit Sharing/401(k) Council of America.

The team is taking about $1.2 million in production with them. The move makes Brancucci and Crossan managing partners at the practice, which has more than $100 million in AUM.