The Securities and Exchange Commission proposal would eliminate a ban on investment advisors receiving government contracts within two years of making political contributions. The agency says existing laws can address pay-to-play conflicts of interest.

Marketing experts suggest alternative ways for firms to promote themselves after a $6 million "gift" received by a former top editor at Forbes was seen as tarnishing the publication's industry awards and rankings.

Firms are using AI more than ever, but few have adopted clear policies outlining human oversight or how third-party vendors should handle cybersecurity.

Under the proposed regulations, funds can only be invested in eligible investments beginning when the account is established until the beneficiary turns 17.

The Internal Revenue Service and the Treasury Department offered guidance on rollovers between retirement plans and individual retirement accounts.

The proposed regulations clarify nondiscrimination requirements for employers offering Trump account contribution programs and dependent care assistance.

The IRS and the Treasury issued guidance on the permanent extension of the employer tax credit for paid family and medical leave under the OBBBA.

The Treasury's financial crime prevention arm said the Swiss firm's U.S. brokerage wing largely ignored a 2018 consent order to clean up its anti-money-laundering processes, leading to the historic settlement announced early in August.

Industry lawyers and recruiters share the key steps bank-based advisors can take to avoid litigation or lower legal exposure when moving clients to a new firm.

The department worries that some products, including Section 351 conversions and box spread ETFs, could be ripe for abuse. It is actively evaluating tools to address those concerns.

The SEC opened public comment on Regulation E-Delivery, a proposal that would replace its decades-old guidance-based framework and make electronic delivery the default for required investor disclosures.

JPMorgan has a habit of taking its former private client advisors to court and accusing them of trying to steal clients they met through bank referrals. An industry recruiter says such suits aren't necessarily a sign of recruiting deals gone bad.

As the SEC pushes to widen access to private equity, private credit and other alternative investments, Morgan Stanley and Envestnet are among firms that already have funds no longer aimed exclusively at "accredited investors."

Views differ on whether prediction market payouts, structured as investments, should be taxed as gambling winnings or proceeds from financial instruments.

Taxpayers and tax pros have already dealt with many changes from the One Big Beautiful Bill Act on 2025 returns, but many provisions will be effective for the first time in 2026.

Brooke Pilant, who was at Ameriprise from 2017 to 2024, accused the firm of turning against her after she raised concerns about "unethical practices."

Final regulations on Section 1035 insurance exchanges eliminate problems from earlier regulations that affected corporate reorganizations and death benefits.

On June 30, the SEC asked for public comments on the regulator's proposed amendments to novel ETFs. About a week in, responses tilt to a hard "no thank you."

If you have high-net-worth clients with capital gains, retire the old playbook for qualified opportunity zones. The program is now a recurring planning regime.

The federal scholarship tax credit is set to take effect on Jan. 1, 2027, with proposed regulations expected by the end of September.