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Expanded 529 plans and pass-through deductions are a boon for the wealth management industry, but the sweeping tax bill comes with its challenges.
May 29 -
The Trump administration is changing many prior policies, but supporters of this proposal are calling for further action to protect the complex tax savings maneuver.
May 28 -
The increasingly popular Section 351 process offers many low-basis investment portfolios an exit ramp — without incurring any capital gains.
May 21 -
Regulators discovered Julie Darrah had been siphoning millions from elderly clients after WEG bought her practice in 2021.
May 21 -
The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.
May 20 -
The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.
May 19 -
Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.
May 19 -
Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.
May 16 -
The numbers on fraud, long-term care costs and aging in America are daunting. Here's how financial planners can help clients prepare.
May 13 -
Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.
May 12 -
Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.
May 7 -
After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.
May 7 -
Only two out of nine firms included the total amount of money involved in revenue sharing — a practice critics say should be ended entirely — in their disclosures.
May 7 -
Social Security beneficiaries may welcome the withholding rate reduction, but financial advisors say the back-and-forth policy changes threaten to erode public confidence in the agency.
May 7 -
The May Financial Advisor Confidence Outlook survey shows that instability, especially around tariffs, continues to weigh heavily on the minds of advisors and their clients.
May 7 -
The Internal Revenue Service announced the inflation-adjusted amounts for health savings accounts in 2026.
May 7 -
The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.
May 6 -
Check out a compliance expert's emoji-onally intelligent tips for decoding the omnipresent icons. (Hint: context is 🔑.)
May 6Mirrorweb -
In speeches at the CFA Institute LIVE conference, experts pointed to the importance of financial advisors and other industry experts in the present circumstances.
May 5