Regulation

A report released by the chair of the Senate Budget Committee argues that tax reform should raise revenue by cutting tax expenditures that mostly benefit the wealthy.

The Labor Department is one regulator that hasn't immediately fallen into line to give Credit Suisse Group a pass following its May 19 guilty plea for helping Americans evade taxes.

If the relationship is confidential, disclosing even public information about clients is a no-no.

With new regulations on the horizon, a top FINRA official highlights the agency's efforts to establish a more flexible oversight regime that will be less of a drain on a practice's resources.

'It's like rolling through a stop sign and you get the death penalty,' says the lawyer for Florida advisor Max Zavanelli.

BlackRock’s Fink Says Leveraged ETFs May ‘Blow Up’ Industry

Critics of the DoL's effort to extend fiduciary responsibilities to retirement plan advisors scored a victory this week when the agency disclosed that it is pushing back the rollout of its proposal until at least next year.

Advisors recount efforts to help troops, being rebuffed by the military and their hope for change.

Following an investigation by Financial Planning that showed a strong link between money woes and troops taking their own lives, a lawmaker pushes for additional funding to help them get comprehensive financial advice.

Morgan Stanley sued to recover more than $3.6 million it paid to defend a former broker who was imprisoned for his role in a kickback scheme.