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The SEC will also require glidepath graphics and asset allocation taglines in advertisements—a new twist for funds that really aren’t as easy as they look.

The Securities and Exchange Commission voted 5:0 Wednesday to require target-date funds to do a better job of explaining the purpose of their retirement date, how their asset-allocation glidepaths change over time, and, in a new twist, to include easy-to-understand visuals in ads.

Charles Schwab opens the doors to its "virtual university" to help RIAs better utilize its technology

The Senate has the advantage in conference committee, but advocates have allies there, too.

A new survey from TD Ameritrade finds that boomers are less likely to consult spouses when it comes to financial matters.

As of May 31, 885 exchange-traded funds in the United States had $748 billion in assets, down 5.5% from a month earlier.

Brokers started streaming from wire houses a couple of years ago, and judging from the experience of Columbia State Bank in Tacoma, there are plenty still interested in leaving.

House conferees debating financial regulatory reform legislation today are expected to vote on amendments that would require the Securities and Exchange Commission to register and regulate municipal financial advisers, replacing Senate language that would give such regulatory authority to the Municipal Securities Rulemaking Board.

More than 7.3 million older Americans — one out of every five citizens over the age of 65 — already have been victimized by a financial swindle, according to a new survey.

The ICI is asking both high-frequency traders and dark pools for more information—and turning to the SEC for help.

Nomura Securities Inc. has hired 44 dealmakers for its North American investment banking operation since January and some of the most recent hires are from Barclays Capital, Credit Suisse and Wells Fargo, according to a memo obtained by IDD Magazine on Tuesday.

The Royal Bank of Canada, the country’s largest bank, plans to boost its presence in Europe by acquiring an investment banking boutique in London, according to a report in the Financial Times.

With the global debt crisis set to corral investment banking's bull run, it's questionable whether the largest lenders can compensate for a resultant decline in a top source of profits.

Lawmakers unexpectedly added an overhaul of the deposit insurance system to the final regulatory reform legislation on Tuesday, adding sweeping provisions that were not part of either the House or Senate revamp bills.

The May 6 Flash Crash has sent the Investment Company Institute into action. The Washington trade association wants a better handle on high-frequency trading and dark pools. Not only is the ICI asking this clandestine corner of the market for more information, but it’s urging the Securities and Exchange Commission to look closer, too.

Putnam Investments plans to continue to aggressively expand its array of products even as market volatility has forced some competitors to retrench.

WASHINGTON — House conferees finalizing the regulatory reform bill unexpectedly proposed Tuesday to add sweeping provisions that would greatly expand deposit insurance coverage, but it remained unclear if their Senate counterparts would accept the package.

The four wirehouses are starting to sweeten the pot to retain financial advisors.

Investor-adviser relations are considerably improving, Fidelity Investments and National Financial found in a survey of 350 investors and 218 brokers and advisers.

Improvement in investor confidence is borne out in a survey that finds 36% of investors expect their advisers will be able to navigate them to profits in any market environment.