Portfolio

SEC sends contradictory message, critics say, urging the public's vigilance yet displaying leniency to a deceitful advisor.

How to make your client's taxes less taxing; Plus: mid-year tax moves to help clients pocket more money, and figuring out taxes on options trades.

Clients cannot request a new Social Security number to allay fears of possible fraud-related claims on their records, but may be allowed to change their number if the threat of abuse of their existing number continues; Plus, a new take on the right retirement age.

The decision to break away raises many issues and questions, not the least of which is whether clients will follow their advisor out the door.

The term robo advisor is too broad to describe some of the new wave of digital wealth management companies, tech observers say.

Regulators at the SEC and FINRA are taking a hard look at how advisors and brokers are protecting digital systems. Here's how firms can respond.

Do mashups offer an new investing opportunities or just create financial mush?

Asset managers groaning under the weight of regulatory requirements scrambled to learn more about recent SEC proposals that would increase their data collection and reporting requirements about their holdings.

Welcome to the era of ETF mashups, whose issuers act like Dr. Frankenstein and combine popular strategies hoping the result will be greater than the sum of its parts.

There are some regulatory red flags that all advisors must pay attention to. But RIAs and brokers also face hurdles specific to their businesses when it comes to staying out of hot water.