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Activist shareholders targeted 449 companies with mostly large market capitalizations.

Heirs and their financial advisors should start figuring out how to minimize the tax impact of the end of the so-called stretch strategy, experts said.

The wealth management giant questions if there has ever been so large a civil sanction handed down in response to "negligent mistakes" made in an attempt to comply with "unwritten rules."

Fears — including running afoul of regulators or garnering ego-crushing reviews — have kept advisors behind the curve of an already ubiquitous marketing practice. Here's how advisors can play catch-up.

While AI tools like ChatGPT are abundant, there's no guarantee compliance will approve it for office use. Here are some tips for getting new tech through the gauntlet.

Canned content can keep clients from reaching "FinCon 1" when something like Monday's market downturn can set them on edge. Here's how to plan it.

Mutual funds are losing assets, while ETFs are gaining them. Here's a look at how a pioneering firm has adjusted to a difficult environment in recent years.

While big firms keep getting hit with lawsuits alleging unfair cash sweep policies, MaxMyInterest is generating returns from cash through the competitive marketplace.

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

These recoveries don't guarantee a bottom has been reached.