Practice

Artificial intelligence is poised to bring dramatic change in the roles computers and humans play in regulatory compliance.

Assets in college savings plans named for an obscure section of the tax code hit a record this summer, totaling $266.2 billion, up 5.1% year-over-year.

The IRS equivalent of a SWAT team gives examinations that are "the audits from hell that your grandfather warned you about," an attorney says.

Only 2% of clients refer someone because their adviser asked. Instead, word-of-mouth is the best strategy, and digital marketing is one way to get it.

Retirees may want to roll over a portion of their traditional IRA into a Roth IRA or use their IRA funds to buy a qualified longevity annuity contract.

Mounting regulatory pressure will push firms to decrease the number of products available due to compliance risks, Cerulli Associates says in a new report.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

A broker leaving a job didn't think the training he got from his former employer was sufficient. His old firm disagrees and wants the costs reimbursed.

Use upside and downside capture ratios to analyze potential investment products, as well as help those who are nervous feel calmer about their portfolio.

The firm failed to promptly liquidate his $3 million brokerage account, the client's lawyer argued during the hearing.