Investments

The regulator provided a detailed listing of practices subject to tougher client-care standards for disclosure or outright elimination.

Total annuity sales in the second quarter reached $77.5 billion, by some measures the highest ever recorded.

The "set it and forget it" approach has gained popularity in recent years, but a more active approach has its advantages in a volatile market. Here's the case for each.

A spousal IRA offers a way to stay on track for a healthy retirement. Yet many people don’t know it exists.

Each major crisis in recent history had unique characteristics that made it particularly painful. But each also offered lessons and opportunities.

The SEC is issuing stark warnings about the funds, even though it approved them for investors.

New research from Moody’s Analytics finds that the number of ESG-related controversies is on the rise.

The long-term effects of harvesting losses can sometimes be worse for the client than doing nothing.

Traders are splurging on “complex” ETFs to ride out the crushing bear market across assets.

Rising inflation and heightened market volatility have many clients rethinking risk tolerance.

The RIA’s customers didn’t receive adequate explanation of its conflicts of interest from no-transaction-fee mutual funds, the regulator says.

A welter of benchmarks and indexes makes it hard for retail investors and financial advisors to know exactly what they're buying

The change from “impact” to “ESG” to “sustainable,” brought in millions at a time in which investors are skeptical about a fund's do-good claims.

Funding from the American Rescue Plan has saved multiemployer pensions, for now. But experts say much work remains to be done.

The guidelines can help planners with charitably minded clients steer clear of compliance thickets and run-ins with the IRS.

For fans of the blockchain-encrypted artwork, there are signs to look for – and to avoid – when buying this asset.

‘Equi-vest’ account statements sent to a million public school teachers and other 403(b) and 457(b) clients were missing nearly all of the expenses, the regulator says.

Even if rules governing the new assets turn out to be at odds with those of firms, acting today will foster a compliance culture in a volatile financial services space.

New research shows that higher-priced strategies can come with lower returns and greater risk — an urgent reason for advisors and investors to monitor the space.

The strategy is widely promoted, but it can leave some investors worse off.