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RIAS JUL 10, 2013
Fidelity unit in pact to open cash spigot for RIAs

Agreement with Live Oak to help clients finance mergers and acquisitions.

By DJAMIESON
WIREHOUSES JUL 10, 2013
Finding fees: UBS charging for financial plans

Bank's raised $3M in revenue so far this year off levy

By Gregory Crawford
WIREHOUSES JUL 10, 2013
Training on the back burner

Industry growth requires a renewed commitment to investing in the next generation

By AOSTERLAND
REGULATION AND LEGISLATION JUL 09, 2013
Most SEC-registered advisers not subject to surprise exams

By Mark Schoeff Jr.
REGULATION AND LEGISLATION JUL 09, 2013
Ray Lucia, firm fined buckets of money over investment claims

Radio host Ray Lucia for years asserted that he thoroughly tested his investment strategy. A judge this week ruled otherwise, ordering Lucia and his firm to pay hefty fines for making the claim.

By Liz Skinner
INDUSTRY NEWS JUL 09, 2013
Threat of tax cap freaking out muni market

But gridlock in Washington may save the day, say industry watchers

By Jeff Benjamin
INDUSTRY NEWS JUL 09, 2013
15 transformational events: American Funds out, Vanguard in

By Jason Kephart
INDUSTRY NEWS JUL 09, 2013
15 transformational advisers: Michael Kitces

By Jason Kephart
INDUSTRY NEWS JUL 09, 2013
Four contrarian opportunities for equity investors

Investec strategist Max King looks at Japan, emerging markets, cyclicals and small stocks

By By Max King
RIAS JUL 08, 2013
Finra bails on plan to supervise reps' outside businesses

In a move that will likely be cheered by reps, Finra has backed off a controversial plan to supervise brokers' outside businesses.

By DJAMIESON
BROKER DEALERS JUL 08, 2013
Finra gets OK to share more info about reps' disciplinary records

Finra has gotten the go-ahead to issue a monthly letter divulging complaints against reps. Not surprisingly, this doesn't sit well with some brokers.

By Mark Schoeff Jr.
RETIREMENT PLANNING JUL 07, 2013
Not your father's retirement: Baby Boomers can't relax yet, study finds

Different economic backdrop means longer work, more savings, less spending than parents.

By Michael Shagrin
RIAS JUL 07, 2013
United Capital does another deal

Buys majority of assets from c5 Wealth Management

By Michael Shagrin
RETIREMENT PLANNING JUL 07, 2013
Mary Beth Franklin: No mulligan after claiming spousal benefits early

But sometimes it's smart for one spouse to file before reaching 66

By Mary Beth Franklin
EQUITIES JUL 06, 2013
The Takeaway: Five investing lessons of 2013 ... so far

By Joshua Brown
INDUSTRY NEWS JUL 06, 2013
Gold has fallen, and it can't get up

Rising real interest rates bad news for precious metal; bullion investors heading for the hills

By JKEPHART
INDUSTRY NEWS JUL 06, 2013
Suddenly, market not digging gold mining stocks

Benchmark index in major swoon, down 47% so far this year; 'rough ride'

By Brittany Vanbibber
EQUITIES JUL 03, 2013
Take Five: Cetera's Brian Gendreau

Market strategist is positive both on gold and stocks

By Jeff Benjamin
RETIREMENT PLANNING JUL 03, 2013
Health coverage may not be client's first priority

By Jeff Benjamin
REGULATION AND LEGISLATION JUL 03, 2013
No fiduciary rule better than bad one, NAPFA official says

Industry group is wary of the SEC's information-seeking request

By Mark Schoeff Jr.