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House and Senate conferees are expected Thursday to add language to the final regulatory reform bill that would strengthen a provision to ban proprietary trading and restrict investment in private-equity firms and hedge funds.

See Advisor TV video here: http://www.financial-planning.com/video/morningstar-dolan-advisortv2667536-1.html

A survey from Allianz Life finds that a significant number of boomers feel they are unprepared for retirement — and many blame their advisors.

Bank Investment Consultant and New York Life/MainStay Investments honor the nation’s top program managers in New York.

Wells Fargo is merging nearly $2.2 billion of Evergreen Investments municipal bond mutual funds into existing Wells funds as part of the bank’s purchase of Wachovia.

Illinois’ debt manager returns tomorrow from an overseas tour where he sought to whet the appetites of European and Asian institutional buyers for his beleaguered state’s paper ahead of a $900 million taxable Build America Bond sale.

JPMorgan Chase's second major executive shuffle in less than a year said as much about how well the company thinks it has recovered from the financial crisis as it does about its CEO's management style.

House and Senate conferees were set Tuesday to deal national banks a setback, agreeing on final language that would make it harder for federal regulators to preempt state consumer protection laws.

SourceMedia's Women Advisors Forum descended on Chicago on June 16. The event offered an opportunity to network with the most successful and influential women financial advisors in the nation, while gaining insight into their career experience and rise to the top.

Investor behavior has changed dramatically in light of market rebounds and signs of recovery, according to the 14th annual World Wealth Report released today by Merrill Lynch Global Wealth Management in conjunction with Capgemini.

Despite the fact the world's gross domestic product shrank last year, high-net-worth individuals managed to almost make up for 2008 losses, according to the Merrill Lynch Global Wealth Management and Capgemini 14th annual World Wealth Report.

FINRA has struck an agreement with the Australian Securities and Investments Commission to enhance the work efforts between the two regulators.

Bank of New York Mellon Corp. announced Tuesday it launched a unit designed to clear futures and derivatives trades.

WASHINGTON — The Federal Reserve Board and the other banking regulators finalized guidance governing executive compensation practices on Monday and announced its review of pay at the largest holding companies had turned up significant flaws.

CHICAGO — The Securities and Exchange Commission has launched a review of a failed investment by five southeastern Wisconsin school districts in collateralized debt obligations that were intended to establish trusts to pay the districts’ non-pension retiree healthcare benefits.

The Securities and Exchange Commission charged ICP Asset Management LLC and its founder and President, Thomas Priore, with defrauding investors in four multi-billion-dollar collateralized debt obligations that were insured by American International Group.

Already armed with Pershing for standard clearing, the new unit is designed to clear futures and derivatives trades.

The Internal Revenue Service is extending some deadlines for sponsors of defined-contribution retirement plans, such as 401(k) plans, that were affected by storms and other severe weather in Alabama, Connecticut, Massachusetts, Mississippi, New Jersey, Rhode Island, Tennessee and West Virginia.

Financial advisers are starting to turn their backs on the idea of going independent and are instead favoring the benefits of working at wire houses, a survey found.

Spectrem Group’s latest report finds many investors are satisfied with advisory firms’ communications regarding fees and variable products.