Defendants who've reached settlements with industry regulators complain their First Amendment rights are breached by orders forbidding them to talk about their cases.

NASAA's proposal would align state laws with the SEC's marketing rule, eliminating concerns advisors have about running afoul of more local laws as they accept testimonials and reviews.

A new study from the Center for Retirement Research suggests there is a large gap in economic outlook between financial advisors and mass affluent investors.

The proposal is part of what SEC Chairman Paul Atkins calls his "Make IPOs Great Again" agenda.

With about 41 million American workers lacking access to a retirement plan through their jobs, experts say advisors could play a pivotal role.

Court decisions vacated the Biden administration's DOL rule — but that didn't make rollover rules easy, experts say. Firms that get compliance right will have an edge in tapping a trillion-dollar-plus market.

New research from the nonprofit, nonpartisan Employee Benefit Research Institute shows pessimism about retirement preparedness is on the rise — that could open doors for advisors.

For advisors like Chris Diodato of WELLth Financial Planning, everything from insurance to industry software is costing more these days.

SEC regulators instead take aim at their predecessors in the Biden Administration, saying the outsized fines were partly the result of a desire to "pursue media headlines and run up numbers."

Despite ongoing concerns over geopolitics and more, many advisors said they would increase allocations to foreign equities over the next few months.

The partnership between the long-established bank and the fintech brokerage will handle the development of the government-owned account platform behind the new government-seeded retirement accounts for children. 

FINRA and consumer advocates are raising alarms about online scams that are driving fraud losses into the hundreds of billions of dollars.

The Trump DOL has said it "has no current plans" for further rulemaking, but that contradicts its own notice of potential regulation last year.

A proposed Labor Department rule could ease the path for alternative investments in 401(k)s, but advisors may face new due diligence and communication challenges.

The new state income tax is expected to make Washington munis, which are exempt, more attractive for high-earning residents.

With enhanced ACA subsidies gone, even a small income mistake can cost clients thousands.

Oil-driven volatility is fueling client anxiety, but advisors say steady messaging helps keep clients invested.

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court decisions.

Since President Trump took office in his second term, the expert panel advising the Department of Labor on ERISA matters has stopped meeting, and officials have not explained why.