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Although the elderly often lose the most from scams, younger clients are more likely to fall victim, according to a report.

A closed-end fund can provide a steady income stream for clients, but advisors often make misleading assumptions about the regularity of monthly distributions. Here’s what to watch for.

The regulator was allegedly inquiring about whether incentives at an firm unit rewarded salespeople for pitching higher-cost products.

Shareholder and Director of Audit and Attestation Services
Hartmann, Blackmon & Kilgore, P.C.

Senior Consultant, Tax Products – Learning
Thomson Reuters

The regulator is doing more with less but also missing its own goals around how long an investigation takes to result in an enforcement case.

Chair of the Editorial Advisory Board, Investments & Wealth Monitor

The authors of a PIABA Foundation study describe a system in which it’s ‘almost impossible’ to put the public’s interests first.

Payouts from pensions and tax-deferred accounts are usually not taxed in states without a state income tax or with levies only on interest and dividends.

Many lenders have started to scale back as the fund industry copes with reduced demand for research following MiFID II.