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Regulator changes exam process to spend more time at branches.

Saving for retirement is just the tip of the iceberg for your clients. Planning for living a longer life is another thing altogether.

Did investors do a good job of picking funds during the financial crisis?

A portfolio may be large but if it doesn't match up with the client's values, it's not working.

What do you tell the 55-year-old who's burned out but looking at another 15 to 20 years of work?

Understanding the Dynamics of ETF Liquidity, Pricing, and Trading

Our legal expert answers questions on company-issued tablet devices.

Ignoring your marketing efforts for administrative work can be detrimental

Ignoring U.S. stocks could cut you off from some of the best values available.

The CEO and head of distribution for DWS Investments Americas discusses new products and how the industry can better meet changing retirement needs.

USAA, a financial institution and insurance provider serving military service people and their families, topped the latest J.D. Power & Associates' survey of self-directed investors' satisfaction while Merrill Edge, Bank of America Merrill Lynch's consumer brokerage unit, checked in last.

A hedge fund services unit of Citigroup in Bermuda has become the latest in a line of third-party middle and back office service providers to be sued by the trustee liquidating Bernard Madoff’s firm to recoup collect funds for disgruntled investors.

Not enough Americans are saving for retirement -- and the ones who are, aren’t saving enough. Which is why ING’s Retirement division has launched a number of programs to help encourage individuals to save more in their defined contribution retirement plans.

Goldman Sachs Asset Management has just launched the Goldman Sachs India Equity Fund and recently debuted the Goldman Sachs Korea Equity Fund. The portfolios seek long-term capital appreciation by investing in local Indian and Korean equities.

When it comes to finding sub-advisory mandates, the size of the asset management firm is not a key consideration, according to a survey of 33 companies by Financial Research Corp.

In a thorough overview, management consultant McKinsey describes how businesses can promote creativity among employees. The authors, Marla Capozzi, a senior expert in McKinsey’s Boston office; Renée Dye, in Atlanta; and Amy Howe in Los Angeles, provide some dramatic examples that could spark ideas for your financial planning practice.

The Securities and Exchange Commission on Wednesday announced a settlement with broker-dealer Raymond James Financial involving $350 million worth of auction rate securities which the regulatory agency claimed were marketed and misrepresented by the firm's reps as “safe, liquid alternatives” to money market funds and other highly liquid investment vehicles.

When individuals are faced with too many options they become paralyzed and don’t make the best decisions– even when it comes to 401(k) options, according to a new study co-authored by Columbia Business School and University of Chicago Booth School of Business.

To me, the most interesting event of the year, so far in the financial planning space, is the Schwab organization's new Independent Branch Services initiative. The gist of it is that Schwab's retail division is looking for experienced advisors to come in and transform their practices into Schwab branch offices on a franchise basis.

As part of a continuing effort to streamline its retail brokerage business, Wells Fargo & Company this week said it will sell its H.D. Vest financial services business to private equity firm Parthenon Capital Partners.