In the wake of the regulator’s latest risk alert, compliance experts identify several steps advisors can take to stay clear of more cases and deficiencies.

The service’s recent move to set new requirements for claiming refunds on research tax credits is provoking an uproar among tax professionals.

Automated investing services use misleading language in marketing materials and portfolio management is not meeting fiduciary requirements.

FINRA alleges that the firm caused clients to incur more than $2.9 million in trading costs.

As the U.S. commonwealth’s fiscal restructuring awaits court approval, a fixed-income brokerage firm’s CEO is trying to drum up votes — or at least a quorum.

Securities and Exchange Commission Chair Gary Gensler warned the financial industry that he won’t shy away from going after big firms pushing the limits in areas that are priorities for the agency, including crypto trading, cyber fraud and SPACs.

At SIFMA’s annual conference, Charles Schwab CEO Walt Bettinger warned about potential overreach when it comes to regulating payments for order flow.

As Congress wrangles, advisors are struggling to figure out how to help clients.

The trade group launched the program in April, offering advisors and their teams and families coverage “at a fraction of the cost.”

The public record designed to give clients a means of researching their advisor has no mention of some allegations, such as those against Eileen Cure.

Despite the strict guidelines, it’s not clear that the new regulation made any impact at all on an increasingly common feedback and evaluation method.

The WilmerHale partner discussed Regulation Best Interest, fraud detection and other industry compliance issues.

Under the 2017 Tax Cuts and Jobs Act, R&E expenses paid or incurred after 2021 must be capitalized and amortized over five years (15 years if research is performed overseas).

The head of the regulator pledged vigorous enforcement of the controversial rule.

The regulator recommends a close look at factors that prompt brokers to restrict customer trading, video-game-like features popularized by online trading platforms, short-selling and payment for order flow.

Commissioner Hester Peirce and CEO Robert Cook spoke amid a growing debate surrounding digital assets and their underlying technology.

The grand jury indictment and a new filing by the SEC offer additional details on the case.

Financial advisors have a variety of objectives in working with their investment-planning clients. But when all is said and done, clients are usually mainly interested in a successful road map to growing and protecting their wealth to and through retirement.

The U.S. may join Canada and Europe, which have already approved similar products.

A streamlined “one-stop shop” would assist planners of all stripes in performing due diligence and other actions.