Law and regulation

Only 17 states permit these trusts, which can play an important role in planning for income taxes and estate taxes.

One major help will be in helping participants think in terms of lifetime income — as opposed to accumulated balances — by requiring benefit statements to include income estimates at least once a year.

FINRA accused the advisor of unlawfully "structuring" a total of $77,560 by depositing cash into his bank accounts in amounts just below the $10,000 reporting threshold.

From emerging technologies to new regulatory scrutiny, Aite Group analysts expect to see many firms redefine their business models in 2018.

The firm’s former COO is accused of destroying a copy of the culture report.

Here's how independent advisors can build a culture of zero tolerance for gender discrimination.

Financial advisory practices need to take responsibility for setting a positive culture and stopping abuse.

Even those who don’t work for Morgan Stanley could find themselves in a Catch-22.

The UHNW world is jolted by unwanted offshore disclosures and prominent executives are finding themselves in an uncomfortable spotlight.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

The bank is embroiled in consumer spats over unwanted car insurance, mortgage lending and overdraft fees.

Recent criminal charges parallel another case brought by the SEC against the broker.

Most advisors don’t have required safeguards in place, one expert says.

The move will likely be seen as a win by the opponents of the regulation.

William Michael Jordan, who co-founded a popular all-woman rideshare service in Southern California, agrees to industry bar.

A recent OCIE report shows that advisors are missing the mark on protecting their businesses against cyber threats.

Expected new chief for financial products is fueling speculation for more innovative funds.

The agency plans to split the award between just two people who reported the bank’s product-pushing tactics.

If it’s undertaken, the appeal case will not be completed before Banks is scheduled to begin serving his 4-year sentence next month.

"You're going to turn around," a federal judge instructed advisor Charles Banks, "and you're going to talk to all these people that you have caused pain for, face to face."