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There isn’t much positive movement now in either recruitment or compensation, but a reviving market should change all that next year, Russell Reynolds predicts.

Just when branch managers thought their jobs couldn’t get any more complicated, Mary Schapiro says that her agency is looking at regulating broker pay.

Approach with caution though, Spectrem says, as 46% of ultra-rich individuals say they feel they could manage their investments better than a professional.

First investment banks developed tools to act like hedge funds. Now their risk strategies are spreading to traditional money management.

Despite some vocal opposition, the Certified Financial Planner Board of Standard’s board of directors approved a controversial 80% fee increase to support a national public awareness campaign to raise awareness about CFP certification.

Tax-exempt money market funds posted only modest gains this week, increasing by $718.2 million and ending with $327.09 billion in total net assets, but that halted a month-long streak of outflows in the week ending Nov. 8, according to the Money Fund Report, a service of iMoneyNet.com.

Many investors think the expiration of the Build America Bond program would actually be good for existing BABs because the entire universe of taxable bond buyers will be fighting over a finite and relatively small pool of available debt.

Los Angeles Lakers forward Lamar Odom has filed suit against the Internal Revenue Service because it would not allow him to deduct $12,000 in fines and $127,000 for fitness training.

Following an extensive review, the insurer will discontinue new LTCI enrollments in 2011.

The SEC should rein in the ABA's CUSIP Service Bureau and prevent it from charging financial market participants unreasonable and unwarranted fees, say three trade groups.

Nonbanks are sending a clear message to the interagency council tasked with identifying systemically important institutions: don't look at us.

Surprisingly, most Americas (88%) showed understanding of diversification and asset allocation (79%) while flunking basic questions about other financial concepts in a survey for Northwestern Mutual.

Investors poured over $26.8 billion into long-term mutual funds in October, nearly twice the assets added in September, Morningstar reported on Wednesday.

Socially responsible investments topped $3 trillion, accounting for one of every eight professionally-managed dollars.

Pre-retirees who continuously held a 401(k) plan with Fidelity Investments for the past 10 years more than doubled their account balances, according to data released by the Boston fund company on Thursday.

In an analysis of 10 million mutual fund votes cast between 2007 and 2009, the Investment Company Institute found that the number of shareholder proposals rose, and as such, funds approved 50% of these proposals in 2009, up from 35% in 2007.

As the U.S. economy makes progress in a slow recovery, the Mercer consulting and benefits outsourcing firm is trying to position itself to serve clients in an increasingly complex financial marketplace.

A couple of interesting surveys were released this week—and when mixed with some anecdotal evidence, they offer advisors some food for thought.

Kip Meadows, the CEO of Nottingham Investment Administration, talks about some of the trends expected for the fund industry.

E Fund Management, the second-largest asset management company in China, is planning to offer the nation’s first registered hedge fund. Along with a long-only mutual fund, the two will invest in emerging markets securities. They will be run out of E Fund’s Hong Kong office.