Industry lawyers and recruiters share the key steps bank-based advisors can take to avoid litigation or lower legal exposure when moving clients to a new firm.

The department worries that some products, including Section 351 conversions and box spread ETFs, could be ripe for abuse. It is actively evaluating tools to address those concerns.

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.

JPMorgan has a habit of taking its former private client advisors to court and accusing them of trying to steal clients they met through bank referrals. An industry recruiter says such suits aren't necessarily a sign of recruiting deals gone bad.

As the SEC pushes to widen access to private equity, private credit and other alternative investments, Morgan Stanley and Envestnet are among firms that already have funds no longer aimed exclusively at "accredited investors."

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

Taxpayers and tax pros have already dealt with many changes from the One Big Beautiful Bill Act on 2025 returns, but many provisions will be effective for the first time in 2026.

Brooke Pilant, who was at Ameriprise from 2017 to 2024, accused the firm of turning against her after she raised concerns about "unethical practices."

Final regulations on Section 1035 insurance exchanges eliminate problems from earlier regulations that affected corporate reorganizations and death benefits.

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."

If you have high-net-worth clients with capital gains, retire the old playbook for qualified opportunity zones. The program is now a recurring planning regime.

The federal scholarship tax credit is set to take effect on Jan. 1, 2027, with proposed regulations expected by the end of September.

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.

As the RIA industry's own declaration of independence turns 86, its underpinnings have never been at greater risk, writes fiduciary maven Knut Rostad.

The tax-writing House Ways and Means Committee held a hearing to consider and pass eight bills related to tax administration and the Internal Revenue Service.

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

A new academic paper finds variable prepaid forwards to be much more effective than options collars with margin loans — even though they're more complex and less accessible.

There's a safe harbor for gift tax reporting, but the American Institute of CPAs recommends families educate themselves as the accounts go live July 4.

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

Some advisors say they already have a hard enough time explaining what a fiduciary is under federal law and that NAPFA's new definition for fee-only planners will only add to the confusion.