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SEC crackdowns on off-channel communications are costing firms millions. Here's how to avoid being caught up in the next enforcement sweep.

The company is paying $75 million in penalties and restitution in connection with SEC allegations that its investment advisory arm overcharged customers it inherited in its Wachovia acquisition in 2008. The settlement is said to show the importance of conducting extensive compliance checks in a rapidly consolidating industry.

Other states are likely to look to Massachusetts for guidance on how far they can go in holding broker-dealers to a higher standard than Regulation Best Interest.

Five experts helped FP compile a big list of potential deductions and strategies surrounding retirement plans and business entity structures.

The Internal Revenue Service is giving people until 2026 to comply with a new requirement for Roth catch-up contributions.

James Huang is a senior in accounting and president of the Beta Alpha Psi chapter at the University of Memphis.

John Guthery, CFA, is chief investment officer at FusionIQ, a multicustodial TAMP that helps advisors, organizations and investors navigate the complex world of alternative investments.

John works with RIAs, broker-dealers, asset managers and their platforms to provide expert guidance on how to effectively implement alternative investments.

Louie Rosalez is president of Avantax Planning Partners.

Peter Pepperell is the owner of Juggernaut Advisory and Bookkeeping Service Sydney.