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Even amid high inflation and an uneven stock market, millions of Americans still strive for FIRE — "financial independence, retire early." But to keep the dream alive, they've had to change it.

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.

The Canadian firm saw an 8% jump in its net income, but CEO Dave McKay foresees a "softer economic outlook" next quarter.

Mario Rivero pleaded guilty in February to swindling five clients out of more than $600,000.

August is Make a Will Month, and clients drafting wills can get quite specific. Here's a few interesting things experts are seeing in wills.

Morgan Stanley Wealth Management's new digital financial education program aims to help young athletes, entertainers and emerging talent build and manage wealth.

The decision displays how an exemption for two weeks of rental income named for the major PGA golf tournament does not provide a blank check, experts said.

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

The company is ditching standard account packages and will instead adopt "relationship tiers" that are based on customer's deposit and investment accounts.

The announcement came only a day after the largest independent brokerage firm added a big bank-based wealth program with $4.7 billion.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

World Insurance's Pensionmark unveiled a giant deal following the insurer's private equity agreement for $1 billion in financing at a valuation of $3.4 billion.

The latest incoming recruit to the firm's Institution Services unit followed a half dozen other big moves by the firm in the bank and credit union channel in recent years.

Americans owe over $1.6 trillion on federal student loans, and repayment starts this fall. There are options for blunting the burden on clients.