The Securities and Exchange Commission proposal would eliminate a ban on investment advisors receiving government contracts within two years of making political contributions. The agency says existing laws can address pay-to-play conflicts of interest.

As wealth tax proposals pop up around the country, advisors guide clients through assessing how these factors change the equation of financial planning.

Some ultrahigh net worth clients would be affected by a change to retirement plan contribution and distribution rules that's under consideration in Congress.

The SEC opened public comment on Regulation E-Delivery, a proposal that would replace its decades-old guidance-based framework and make electronic delivery the default for required investor disclosures.

Views differ on whether prediction market payouts, structured as investments, should be taxed as gambling winnings or proceeds from financial instruments.

On June 30, the SEC asked for public comments on the regulator's proposed amendments to novel ETFs. About a week in, responses tilt to a hard "no thank you."

As the July 4 launch date nears when clients can start contributing to Trump accounts, advisors discussed pros and cons of this method to save for children.

A survey found that a majority of investors disagreed with requiring scaling back to semiannual reporting for public companies.

The U.S. House bill aimed at protecting investors 65 or older or those who have a mental or physical impairment from fraud, has bipartisan support.

Whether advisors choose individual stocks or not, the SEC's proposal to allow semiannual reporting rather than quarterly could impact clients' portfolios.

Speakers at the Association of African American Financial Advisors' growing event called for greater collaboration and many types of advocacy.

Nearly two years into a pilot program designed to test remote inspections of brokers' residential and other remote offices, FINRA feels comfortable enough with the results to push for a permanent policy.

The latest projections indicate the main Social Security retirement fund will reach insolvency in less than six and a half years. For retirees and their advisors, that could mean a potential rethink of retirement plans.

In a recent industry snapshot, the Investment Adviser Association found the average number of data points advisors have to report in annual regulatory filings has nearly doubled to more than 1,000 since 2011.

A technicality in the federal law enacted in July 2025 changed how deductions work for estates and trusts, creating uncertainty over how taxes are allocated after a person's death.

Schwab, Vanguard and Fidelity barred the DAFs they sponsor from making grants to the indicted nonprofit. The episode highlights why advisors should help clients choose fund sponsors carefully.

A report from the Financial Stability Board said limited transparency in the private credit market makes it difficult for regulators to monitor and understand risks, potentially masking challenges to the financial system.

Even if they must refer wealth families to a tax professional for a generation-skipping or dynasty trust, financial advisors can play a valuable role.

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.