Regulation and Compliance News from Financial Planning

Also this month in our disciplinary digest, a frequent CNBC analyst is sentenced to five years in prison for defrauding investors, and a former Fidelity advisor faced charges after borrowing millions from clients.

The question has turned into something of a paradox because of the related, but different, rise of RIAs and how that has affected independent brokerages.

At Financial Planning's recent AI Virtual Summit, Sameer Munshi of EY Consulting discussed how advisors could use the burgeoning technology to safely test client messaging and more.

The use of multiple entities as a means of shifting a high net worth client's yearly income could help rack up bigger breaks, with some caveats.

A new bipartisan bill has the potential to significantly decrease the number of retirees who deplete their savings due to long-term care expenses, according to Morningstar researchers.

Ryan's selection may indicate an SEC aiming to resolve more violations by other means than enforcement actions, one lawyer said.

The tide is in the wirehouse's direction in its fights with advisors who've left for rival firms.

The Internal Revenue Service issued answers to frequently asked questions about the soon-to-expire tax credits for solar and wind power and electric vehicles.

Recruiters say firms routinely cover advisors' lost deferred compensation in offer packages. Those deals are complicating efforts by advisors who contend they're still owed backpay.

What tips qualify, which don't, how to file and more.

Bloomberg reports that Citi has enlisted a law firm to look into complaints about Andy Sieg's behavior to current and former colleagues, including former private banking head Ida Liu.

The so-called "Magnificent Seven" are doing well, but experts say that doesn't tell the story of the overall economy, which is struggling under the surface.

The sprawling new tax law includes a number of provisions that present opportunities for accountants and tax professionals to discuss estate and gift planning.

In an increasingly choppy sector, experts say investing with caution and an eye on diversification is key.

A new study predicts the One Big Beautiful Bill Act will reduce federal taxes on average for individual taxpayers in every state, but the impact will differ.

Even the wonkiest experts are struggling to keep up with the latest macroeconomic data. Here are the key factors to watch in the coming months.

The expansion of the Qualified Small Business Stock program in the One Big Beautiful Bill Act makes a powerful tax-saving strategy even more enticing.

But the new rules for deductions, capital-gains exclusions and estate planning merit a lot of strategic discussions for financial advisors and entrepreneurial clients.

A proposed "model rule" would give state regulators laws they could adopt to bring their marketing regulations for investment advisors in line with the SEC's.

Between new senior tax deductions and fast-approaching funding shortfalls, it has been a turbulent few months for Social Security.