Regulation

Advisor sends his clients on a road trip; 401(k) contributions ‘max’ to rise to $18,000 in 2015; Navigating the new retirement world

Corporate tax reform is likely to be a priority for Congress and the Obama administration no matter which party has control of the Senate after the midterm elections, said tax experts and congressional observers who, nevertheless, differ on how this might impact municipal bonds.

With recent high profile data breaches fresh in mind, here are some best practices and tips to keep you and your clients safe from data threats.

6 networking tips for retirees; Will your retirement savings last?; How to learn what you're paying for your retirement account

The nation's biggest independent B-D announced that it expects to incur greater-than-expected charges of $23 million in its third quarter due to regulatory matters.

FINRA's Enforcement Department alleges that the registered rep issued and distributed unauthorized ATM cards as part of a scheme to steal customer funds.

Agency secures $4 billion in penalties; expert says: “make sure that you have a robust and dynamic compliance program.”

CFP professionals overwhelmingly value the certification: 92% say they are very satisfied with their decision to pursue it, and 97% chose to retain their certification last year.

Ameriprise and one of its advisors were fined by FINRA after an investigation revealed the advisor doctored client documents and the firm kept quiet about the changes.

The SEC plans an enforcement action against a former Wells Fargo compliance officer for altering report.