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In light of the Department of Labor’s (DoL) latest regulatory pronouncement on offering participant investment advice, DALBAR has already updated its two plan adviser certification programs.

The New York Stock Exchange has fined Morgan Stanley $300,000 for its failure to stop a trader from entering an order to buy $10.8 billion in stocks –...

Regardless of your relationship status, Valentine’s Day is coming – and for those of you in some kind of committed relationship (or wanting to be), here are some...

XShares Advisors LLC will develop exchange-traded funds (ETFs) based on carbon emission credits, which allow firms and other organizations the right to emit a stated amount of carbon...

Northern Trust Global Investments (NTGI) has unveiled a Quantitative 130/30 Core Equity Strategy.

Assets of U.S.-listed exchange-traded funds (ETFs) were up slightly to $422 billion in January, according to new data from State Street Global Advisors.

The National Association of Securities Dealers (NASD) has fined four Fidelity broker-dealers a combined $3.75 million for faltering on some of their recordkeeping responsibilities for clients and ordered...

The Depository Trust&Clearing Corporation (DTCC) has unveiled plans for a July launch of its redesigned Mutual Fund Profile Service database, which it says will be a centralized repository...

Boston-based State Street Corporation announced Monday that it has agreed to buy Investors Financial Services Corporation in a stock transaction worth approximately $4.5 billion.

Dow Jones has announced the release of a new Web version of Dow Jones Wealth Manager, which it says provides financial advisers with the ability to match news...

In its first Field Accounting Bulletin (FAB) of 2007, the U.S. Department of Labor’s (DoL) Employee Benefits Security Administration (EBSA) offered guidance pertaining to the investment advice and...

Apparently, the conventional wisdom is right: the earlier you start saving, the more you save and the more generous market return you enjoy, the larger nest egg you...

U.S. Senators may have overwhelmingly approved a bill that includes a provision limiting non-qualified deferred compensation programs (NQDC), but the NQDC provision may still be changed in a...

Stock and bond funds experienced net inflows of $39.4 billion in December, following a low net intake of $17.4 billion in November, according to data from the Financial...

On Friday, the Department of Labor issued a Field Assistance Bulletin on the “Statutory Exemption for Investment Advice.″

A new Hewitt Associates study of large US company retirement plans found that 43% offer, or are very likely to offer, third-party investment advisory services in the coming...

The combined assets of mutual funds around the globe climbed 4.1% in the third quarter of 2006 to $20.22 trillion, beating the 2005 numbers for the same quarter...

Dow Jones Indexes announced that 11 of its U.S. indexes have been licensed to ProShares Trust and its affiliates to serve as the basis of 22 leveraged and...

MG Advisory and CLS Investment Firm, a third party money manager, have joined together to offer a retirement account management service to plan participants, the firms announced.

As anticipated, Putnam Investments has announced that it will be acquired from Marsh&McLennan Companies by Great-West Lifeco Inc., a subsidiary of Power Financial Corporation.