Practice

Edward Jones survey finds that only 37% of Americans were able to correctly identify 529 plans as a college savings tool.

This week, IRA expert Ed Slott answers readers’ questions about penalties on nonqualified distributions.

A House Financial Services Committee will begin hearing testimony for and against a controversial bill that would shift regulatory oversight of investment advisors from the SEC to a self-regulatory organization such as FINRA.

The Financial Industry Regulatory Authority reviewed enforcement case trends at its annual conference in Washington, D.C. this week. Here are 25 top cases from its files.

Majority of workers surveyed plan to put off retirement until after 65, and then find retirement work.

In cases where an advisor has created a financial plan for a client, Advisor Access now features a hyperlink to the Goal Planning & Management component powered by MoneyGuidePro.

Whether it's Facebook, Twitter or LinkedIn, financial advisors need a handy resource to keep them abreast of all the latest rules and trade secrets to capitalize on the social media frenzy without running afoul of the regulators. Here's everything wealth managers need to know.

When it comes to financial planning advice in the social media arena, less is almost always more. Here's what wealth managers need to do (and not do) to service their clients while staying within the regulatory boundaries.

Seven tips come in daily under the program that started in August. Thomas Sporkin, director of market surveillance at the SEC, says two to three each day are high quality.

Asset management companies can anticipate regulatory focus to intensify as implementation of the Dodd-Frank Wall Street Reform Act progresses - and not just from the Securities and Exchange Commission.