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Tax-exempt money market funds posted their first decline since mid-December as outflows of $4.35 billion trimmed total net assets to $329.91 billion for the week ended Jan. 17, according to the Money Fund Report, a service of iMoneyNet.com.

The sophisticated investor in retail municipal bonds has ­remained calm the past few months even as mutual funds have dumped state and local ­government debt by the truckload.

The Securities and Exchange Commission approved two sets of rules for asset-backed securities Thursday, including one that would apply to certain municipal securities in early 2015.

A surprising number of banks staved off an expected compression in net interest margins last earnings season. There won't be as many surprises this time around.

James Carney, president and chief executive officer of ByAllAccounts, says profitable and effective practices are changing their priorities and being more progressive in their thinking this year. He offered seven habits that will help firms regain profitability.

The third largest broker-dealer by headcount and the fifth largest by revenue has grown into a powerhouse of a financial services company over the past decade. Its top executive said in an interview Thursday it plans to add at least 400 more this year.

The Securities and Exchange Commission charged three New York-based investment firms and four former senior officers with fraud, misuse of client assets and other securities laws violations, when they masked financial troubles within their $66 million advisory business.

A greater number of U.S. households are at risk of falling short of money in retirement because of the housing and financial crisis, according to a report.On Thursday, the Employee Benefit Research Institute released a new report that found that between 4%-14% more U.S. households are at risk of not having enough income to cover basic expenses in retirement. Those at-risk households are primarily those who had smaller 401(k) plans and/or individual retirement accounts or had significant exposure to fluctuations in the housing market.

We call this the "financial planning profession," right? So here's a topic for discussion: how is it that many people calling themselves a financial planner don't actually do financial planning work for their clients?

Mark Schoenbeck’s career - and his life – has come full circle.

Commission says FINRA is Congress’ best bet for policing advisors.

UBS plans to hold its branch managers and complex directors to stricter standards for individual measurements for their bonuses in the coming year.

Larry Pitkowsky and Keith Trauner, former portfolio managers at the Fairholme Funds, have formed GoodHaven Capital Management, an investment firm with a go-anywhere mandate. The firm will initially offer separately managed accounts for high-net-worth individuals, institutions and retirement accounts and launch a no-load mutual fund in the second quarter.

Stock markets around the world are on the rise and investor sentiment is, not surprisingly, riding along.

A greater number of U.S. households are at risk of falling short of money in retirement because of the housing and financial crisis, according to a report by EBRI.

RiverNorth Capital, in partnership with DoubleLine as sub-advisor, has launched the RiverNorth/DoubleLine Strategic Income Fund.

Bank-based advisors’ average production holds its ground, thanks to improving spreads on fixed annuities and stronger market conditions.

With the two launches, Schwab now has a total of 13 equity and fixed income ETFs.

The hedge fund industry has recovered most of the ground it lost during the financial crisis.

WASHINGTON — The Financial Industry Regulatory Authority has censured and fined Merrill Lynch, Pierce, Fenner & Smith Inc. $500,000 for failing to establish and maintain written supervisory procedures to ensure that its representatives considered customers’ state income-tax benefits in their suitability analyses of 529 college saving plans.