Regulation

You could tell clients to move to another state to avoid a $1.2M tax bill. Or you could suggest a domestic asset protection trust instead.

Critics suggest questionnaire-driven automated advice can't completely address client risk tolerance, but technology firms say transparency is the solution.

The commission's barring of one advisor follows similar action by state authorities, indicating that regulators are coordinating their enforcement activities.

Asset managers focus on content marketing with the development of podcasts and even video packages to showcase their expertise.

The fund was purportedly a safe investment based on a computer algorithm. In fact, clients dumped millions of dollars into a fund, which later lost 80% of its value in a single month, authorities say.

LPL CEO Mark Casady expects "continued pressure on brokerage sales."

Why the compensation model for variable annuities may need to change because of the Labor Department's fiduciary proposal; plus, the pros and cons of 401(k) loans and six critical moves for a carefree retirement.

The new proposals may end up being the best thing that ever happened to ETNs.

Good compliance management software means no more overlooked emails, or documents gathering dust in filing cabinets, says BasisCode Compliance CEO.

A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims.