Financial planning

A slew of recent regulatory shifts is keeping examiners busy -- and advisors must know how to react when they get a call from FINRA or the SEC.

Payden & Rygel is looking to tap into the broker dealer channel with a new partnership.

Muni money funds continue to struggle to recoup the billions they lost this year — particulary around income tax season — and the arrival this week of $411 million is not much of a boost.

LPL hired Michelle Oroschakoff as chief risk officer and managing director.

U.S. bond funds suffered their second-worst withdrawals last week in more than two decades after speculation about an eventual end to the Federal Reserve’s bond purchases sent fixed-income markets lower.

Financial Planning unveiled its annual list of the largest independent broker-dealers in June. Here's a list of the top 5 networks.

Which top program managers are surging? Check out a list of the top program managers that saw their assets surge last year.

A focus on advisor fees and compensation is all well and good -- particularly among the next-generation of investors -- but advisors say that focus can sometimes be misguided.

“I think probably the No. 1 area of angst for advisors running their own firms is the efficiency of their business,” Pershing's Mark Tibergien said Thursday during an interview at the Pershing Insite conference.

The financial services industry has one of the hardest glass ceilings for women to break through according to a recent survey from Edward Jones.

Genworth Financial Inc. said it is eliminating 400 jobs as Chief Executive Officer Thomas McInerney seeks to counter the pressure from low interest rates.

Advisors are wary of BNY Mellon's plan to provide private banking services to RIAs.

Although many in the industry have tipped active exchange-traded funds as the breakthrough product of 2013, this may be wishful thinking, according to a new study by Cerulli Associates.

Separately managed accounts and alternative funds are poised for growth and fund firms need to be on top of their social media game to participate in the growing mutual fund space, according to a new report by Curian Capital.

Exchange-traded funds gathered record net inflows of $107 billion through the end of May 2013, which is 31% higher than the $82 billion in net flows at this time in 2012, according to data from ETGI.

The Securities and Exchange Commission's long-awaited proposal to reform the money market mutual fund industry has left observers wondering whether the agency compromised too much in an effort to get a plan out the door.

New planners should be aware of these commonly cited irks by firm owners and take the necessary steps to avoid them.

Who are the financial planning industry's largest broker-dealers? Financial Planning unveils its annual list. Where does your firm rank?

Charitable lead annuity trusts have become even more attractive because of a recent U.S. Tax Court ruling.

Here’s a sampling of bank reps who were recently promoted or moved to new organizations to assume roles of greater responsibility.