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Pershing LLC, a BNY Mellon company, announced upgrades to its Advisor in Transition practice management program. 

The Securities and Exchange Commission (SEC) is expected to publish its reports on whether broker/dealers should be held to a fiduciary standard and whether advisers need a self-regulatory...

Charles Schwab has urged regulators to focus on other parties in the nation’s recent mortgage meltdown after the firm was dealt a fine from the SEC.

Russell Investments announced its intent to acquire U.S. One, Inc., a registered investment adviser (RIA) and exchange-traded fund (ETF) provider.

The Retirement Income Industry Association (RIIA) and HealthView Services have developed a retirement income management software solution that includes a portion dedicated to unforeseen healthcare costs.   

Fidelity's newest unified managed account (UMA) offering, Personalized Portfolios, provides daily risk management and tax-sensitive investing previously reserved for institutional investors.  

ExpertPlan, Inc. has been selected by GWN Securities, Inc. to provide a customized defined contribution and defined benefit retirement program to their national network of more than 700...

A Vanguard survey finds that most target-date fund investors understand the funds’ basic design and are aware of the accompanying investment risks.

The vast majority of households surveyed by the Insured Retirement Institute and Cerulli Associates say they are unfamiliar with annuities or have no opinion of them at all,...

Charles Schwab on Tuesday agreed to pay more than $119 million to settle charges of wrongdoing in connection with the marketing of its Schwab YieldPlus Fund.

Exchange-traded fund (ETF) assets rose $63.3 billion for the month of December—up 6.8%. 

Four out of five companies would drop money market mutual funds (MMFs) from their portfolios if a floating net asset value (NAV) becomes a requirement. 

Barclays Capital announced the launch of a new Emerging Markets Tradable Local Currency Bond (EMLOCAL) Index.

Westwood Holdings Group, Inc. has closed the WHG SMidCap Fund (WHGMX) to new investors.

 HighTower financial services completed its first tuck-in transaction, with Steve Bogner bringing his practice to Richard Saperstein’s team in New York.  

Towers Watson has named Chris DeMeo head of investment for North America.

The retirement services division of American United Life Insurance Company (AUL) announced today that it will offer Advent Custodial Data (ACD) to its advisers.  

When the going gets tough, the best employers stand by their employees – and they’re willing to share how.

SEI has partnered with Allfunds Bank to offer a greater choice of investment solutions for Shariah investors in the Gulf Cooperation Council (GCC).

UBS Global Asset Management has launched the UBS Fixed Income Opportunities Fund.