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What does an advisor need to do to get a sales assistant and who pays for that person? Experts at our Retirement Roundtable explore these and other questions in the final installment of a six part podcast.

Scott Barnes, now chairman of IPI, will expand the firm’s trust and consulting operations.

Pax World Management is breaking more new ground by rolling out the industry’s first family of environmental, social and governance ETFs.

WASHINGTON — After refusing to answer questions for weeks about whether banks should be allowed to continue to operate as swaps dealers, Senate Banking Committee Chairman Chris Dodd quietly filed an amendment Tuesday that would give regulators the power to gut such a proposed ban.

WASHINGTON — Financial institutions are sounding the alarm over an amendment to the Senate bill that many initially deemed harmless but now see as threatening a key source of capital: trust-preferred securities.

A new study suggests that women have been slower to change their investments than men. For baby boomers, there are steps they can take.

Chrin's path to Wall Street led her to start her own registered investment advisory firm, where she works with a select group of families in all key areas of wealth management, including investing, estate and tax planning, and family dynamics.

Peter Adamson, 47, a well-regarded money manager has landed a job with the family office Oprah Winfrey is setting up to manage her $2.4 billion.

The average 401(k) plan balance at the end of the first quarter was up 40% from the year-earlier period, according to Fidelity highlights from its first quarter 2010 401(k) figures.

The Hartford Financial Services Group has seen a surge in sales of retirement plans to charitable and religious organizations prompting the insurance and wealth management company to add three faith-based investment fund families to help boost growth.

The average 401(k) plan balance at the end of the first quarter was up 40% from the year-earlier period, according to Fidelity highlights from its first quarter 2010 401(k) figures.

When it comes to investing, many commercial banks, pension funds, endowments and other institutions are not sophisticated and need SEC protections.

The SEC, FINRA and national securities exchanges are proposing individual circuit-breakers for every stock available in the U.S.

After refusing to answer questions for weeks about whether banks should be allowed to continue to operate as swaps dealers, Senate Banking Committee Chairman Chris Dodd quietly filed an amendment Tuesday that would give regulators the power to gut such a proposed ban.

Financial institutions are sounding the alarm over an amendment to the Senate bill that many initially deemed harmless but now see as threatening a key source of capital: trust-preferred securities.

The SEC, FINRA and national securities exchanges are proposing individual circuit-breakers for every stock available in the U.S. They would set in if a security price moves 10% or more in a five-minute period.

Peter Adamson, 47, a well-regarded money manager who pioneered the use of hedge funds in the 1980s, family office investments in the 1990s and currently serves as billionaire Eli Broad’s chief investment officer, has landed a job with the family office Oprah Winfrey is setting up to manage her billions. Adamson is reportedly Winfrey's first hire and is seen as a coup for the media mogul, worth an estimated $2.4 billion.

Michael Simonds is leaving Morgan Stanley Smith Barney to join Merrill Lynch as an associate director.

"I've been everywhere and seen everything and done everything...sophisticated, God, I'm sophisticated." -- Daisy Buchanan, The Great Gatsby