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Contributions to 401(k)s increased in the last year, Principal Financial found in a survey of 1,159 employees and 529 retirees in October.

Tracking client information is important since it becomes the basis of the marketing plan. Unfortunately, many firms don’t monitor the source of their new business and miss out on marketing opportunities.

Deutsche Bank’s fund arm goes the extra mile to promote its funds, a Corporate Insight study finds.

Despite a recovering economy, mass affluent investors believe the recession isn’t quite over.

Health organizations take the biggest hit, with a 63.7% decrease, according to a BofA Merrill survey.

Where you live may have a big impact on both your emotional and financial preparation for retirement, according to survey released Tuesday by Ameriprise Financial.

Forty percent say they are likely to invest in cash over the next 12 months, while 23% plan to buy equities, according to survey.

EDGAR Online said Tuesday it struck agreements that will let it create risk-return summaries in the eXtensible Business Reporting Language for as many as 2,000 out of the roughly 8,000 mutual funds that must meet a new federal requirement for interactive financial filings.

The Securities and Exchange Commission said its investigation exposed "egregious" conduct in municipal investing.

Dividend increases, acquisitions and loan growth — three things big banks and their shareholders have been longing for — could be in the cards for 2011, CEOs said Tuesday.

Rep. Spencer Bachus was formally selected by the Republican Steering Committee on Tuesday to serve as chairman of the House Financial Services Committee next year.

Bank of New York Mellon Wealth Management announced it plans to double its office space in Miami.Year-over-year, sales in Florida have increased 20% for the firm.

The CEO admitted the bank was “sub-optimized in wealth brokerage and retirement,” but said it was aiming to change that through organic growth.

The North Carolina-based company becomes the third bank to sell a guaranteed income option as part of its institutional plan offering.

The new appointments bring the company's total new advisor hires for 2010 to 50.

Advisor Michael Leanza says that “active-passive” capital preservation with upside potential is turning his wealthy clients into advocates.

The average immediate annuity premium is $107,000, and what’s more, 90% of policyholders purchase additional riders that either keep payments flowing to heirs, or that return the balance of the contract to heirs, if the contract holder dies unexpectedly early, according to LIMRA research.

Citigroup, which seeded Claren Road, and a Goldman Sachs fund, which has a minority stake, are using the deal to exit their investments.

Far from being partners, observers said Rep. Barney Frank and whoever the GOP picks to succeed him as Financial Services Committee chairman are likely to be at loggerheads.

After seeing its stock rose 5% over the last two weeks, Wells Fargo is within a few billion dollars of JPMorgan Chase's $156 billion market capitalization.