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Twenty-three percent of middle-class IRA remained undecided in October about converting to an IRA, according to a study by First Command.

Currently wirehouse market share is at 56% of total fee-based managed account assets, but Cerulli Associates predicts that managed account market share for wirehouses will tumble to 50% by 2014.

The Financial Industry Regulatory Authority Friday morning said it is seeking a Temporary Cease and Desist Order against a San Antonio brokerage that allegedly is operating a "boiler room" designed to raise money for oil and gas ventures its president runs.

There are a variety of working styles and strategies represented by the top 50 bank reps, but some themes stand out that have helped keep them above the cut.

ETF Securities’ ETFS Physical White Metals Basket Shares (WITE) began trading on the NYSE Arca Friday.

Investment advisors who think they can outsmart the Securities and Exchange Commission had better think again.

It’s a good time to open up conversations about future medical expenses, especially when it comes to clients who are shy about confiding medical issues and those reluctant to purchase long term care policies.

The municipal bond underwriter and brokerage house hope the tandem will generate broader appeal for investors.

The trustee seeking to recover funds lost in the multibillion Ponzi scheme run by Bernard Madoff Thursday sued JPMorgan Chase & Co. for $6.4 billion. The trustee cited the firm's "decades-long role" as the primary banker in the case.

The SEC has revoked the registration of Thrasher Capital Management in New York for not providing the company’s books and records to the regulatorin May 2009 and ignoring repeated requests to do so.

Between data released by the Fed Reserve and diplomatic cables posted by WikiLeaks, it has been a big week for disclosures of information previously treated as closely guarded ...

As regulators try to collaborate on new securitization rules, a fissure has emerged in bankers' own thinking on the subject.

Currently wirehouse market share is at 56% of total fee-based managed account assets, but Cerulli predicts managed account market share for wirehouses will tumble to 50% by 2014.

UBS announced Thursday it hired Dave Schrohe as chief operating officer of its wealth management solutions management team.

The financial planning community has a lot of knowledge and wisdom – way more than any individual writer or commentator. But how do we tap the deep wisdom of the crowd to help us resolve important, complicated issues? Bob Veres, a columnist for Financial Planning magazine, is here to trigger conversations on important topics for advisors on issues and subjects facing the industry. First up: The regualtory standard.

The $16 billion Houston-based wealth manager, announced Thursday it has agreed to buy RDG Capital LLC, a Houston boutique wealth advisory firm.

The global economy is in the middle of a scary macroeconomic environment, with fiscal imbalances in Europe, Japan and the U.S. and increased regulation, which is confusing companies as well as individuals, according to T. Rowe Price’s director of global equity.

Cypress Trust Co., based in Palm Beach, Fla., cherishes its status as an independent trust company, and is counting on its newly appointed president and chief executive officer, to preserve that.

Broadridge has acquired financial services client communications firm Forefield for $19.5 million.

Baby boomers have seen first-hand the value of long term care insurance: Among those whose parents collected on a policy, 72% said it was a good value in a Mathew Greenwald survey.