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A lot more mass affluent investors know what a CFP is than was the case just a few months ago. That’s what an early study of the CFP Board’s 4-year, $40 million advertising and brand awareness campaign shows, the board reported in a media briefing this week.

The International Securities Exchange said Thursday that it intended to provide venture capital to the exchange-traded product industry.

The operator of an all-electronic options exchange and licenser of financial indexes said it was beginning to fund the creation of exchange-traded funds by other parties.

Cetera Financial Group CEO Valerie Brown shares four lessons she said have had great impact on both her business and her life during the Women Advisors Forum in Huntington Beach, Calif.

According to the survey, 70% of RIAs cited market volatility as the top concern among their clients, while 99% said it was among clients’ top three concerns. Only 6% of RIAs said wealth accumulation was a top client concern.

Chief Market Strategist Douglas Coté said record levels of earnings, an all-time record high of aggregate consumer spending, and booming production by companies like Caterpillar are reasons for optimism.

Asset management firms recorded average profitability of 28% through 2010 and the first half of 2011, according to a new McKinsey report.

When it comes to mutual fund wholesaling, social media is a young man's game. Sales and distribution today are still all about in-person connections.

Total inflows to long-term mutual funds were $836 million for the week ended Nov. 9, according to the Investment Company Institute.

When FINRA at the outset of 2010 issued its first set of guidelines on how to use social media (Notice 10-06), lots of questions ensued. Here's an interactive slideshow detailing what advisors, broker-dealers and financial services firms need to know to navigate FINRA's social media guidelines.

Tweets have now been turned into formatted streams of market data.

Leaders of the Financial Services Institute expressed cautious optimism about their efforts to dilute or derail an initiative under way at the Department of Labor to broaden the scope of the term "fiduciary," a top policy priority for the advocacy organization.

Living more frugally and paying off debt has paid off for one in five retirees -- but fewer are looking out to the future to estimate how long their assets will last in retirement.

Financial advisors are increasingly interested in hearing from asset managers’ marketing teams in a digital format, accessible via the Web, according to Kasina’s latest FA Vision report, created in conjunction with Horsesmouth.

Financial advisors are much more pessimistic now about the economy than they were in early 2011, a survey by MFS Investment Management found.

Living more frugally and paying off debt has paid off for one in five retirees—but fewer are looking out to the future to estimate how long their assets will last in retirement.

Morgan Stanley Investment Management agreed to pay $3.3 million in a case involving billing for subadvisory services in Malaysia that the SEC said were not rendered.

Regulators implementing the Dodd-Frank Act are writing massive, complicated rules that corporations will maneuver to exploit and federal examiners will struggle to enforce

Not only do Americans expect to work longer to save enough for retirement, they expect to work way longer beyond that. New research by Wells Fargo shows that the anticipated retirement age has now stretched as much as 15 years past age 65.

BNY Mellon is opening a new wealth management office in Washington, D.C., the fourth-largest U.S. wealth market. The office is set to open later this month with staff expected to reach double-digits in 2012, said Larry Hughes, CEO of BNY Mellon Wealth Management.