Merger and acquisition activity among RIAs remained largely consistent throughout 2014, according to Schwab Advisor Services' mid-year review. Like in 2013, last year’s M&A market wrapped up the year with 54 deals completed, totaling $47.4 bil...

Supporting Advisor Success

Financial advisors experienced a boom year in 2014, earning record revenues while increasing client assets under management and client retention, according to a new report from PriceMetrix. Advisors’ assets under management and revenue have ri...

Building a behemoth. Vanguard saw a net $219 billion flow into their U.S. mutual funds and ETFs in 2014, and is on track to account for 20 percent of total industry assets by the end of this year. Morningstar calls it the most dominant fun...

  New research from Cerulli Associates found that the annuity industry is in the middle of a significant change, and it’s impacting the way advisors craft portfolios. Elizabeth Malin, an analyst at Cerulli, said low interest rates are chall...

(Reuters) - Wall Street's watchdog sanctioned Oppenheimer & Co a total of $3.75 million on Thursday for failing to supervise a former broker who is now serving a prison sentence for defrauding the producers of Broadway production "...

A clean bill of health means a happier retirement. | Brian Bahr/Getty Images Retirees would rather be healthy than wealthy, according to a new study by MassMutual Retirement Services. Eighty percent of retirees in better health report havi...

Chair of Ellevate Network

(Reuters) - U.S. regulators adopted a new rule Wednesday that will scale back the states' powers to police some public stock offerings, a move that advocates say will spur more capital-raising and critics claim could lead to more fraud...

(Reuters) - High-speed stock trading firms that execute transactions away from exchanges would be subject to greater regulatory oversight under a proposal unveiled on Wednesday by the U.S. Securities and Exchange Commission...