The increasingly popular Section 351 process offers many low-basis investment portfolios an exit ramp — without incurring any capital gains.

Regulators discovered Julie Darrah had been siphoning millions from elderly clients after WEG bought her practice in 2021.

The broker-dealer alleged that a FINRA arbitration panelist who helped hand down the landmark penalty should have recused herself after reaching a similar conclusion in a case involving the same embattled broker.

The bill would levy a 5% tax on remittances for noncitizens and foreign nationals, on top of a roughly 5% to 10% fee already charged on the payments.

The new rules, set to take effect May 23, will allow CFP applicants to forgo a more intensive review process in certain circumstances.

Industry groups argue a new rule under consideration would give brokerage firms new oversight responsibilities over unaffiliated RIAs — a contention FINRA denies.

Rulings from the Financial Industry Regulatory Authority included a $360,000-plus payout from JPMorgan, scrutiny of B. Riley operations and more in April.

Wealthy Americans and business investors are among the big winners while targets of Trump's ire such as immigrants and elite universities were hammered.

The numbers on fraud, long-term care costs and aging in America are daunting. Here's how financial planners can help clients prepare.

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

Morgan Stanley is among a long list of wealth managers facing questions about whether their handling of uninvested cash is really in clients' best interest.

After joining Raymond James last year, Lynette Ancona contends she was virtually forced out of Schwab by a branch manager who tended to favor "younger, male" colleagues.

Only two out of nine firms included the total amount of money involved in revenue sharing — a practice critics say should be ended entirely — in their disclosures.

The Internal Revenue Service announced the inflation-adjusted amounts for health savings accounts in 2026.

The industry conflict of interest takes many common, controversial or outright confusing forms. Here's what financial advisors and investors should know.

A unit of the bank bought by UBS in 2023 pleaded guilty to conspiring to help its customers hide more than $4 billion from the Internal Revenue Service in at least 475 offshore accounts

Check out a compliance expert's emoji-onally intelligent tips for decoding the omnipresent icons. (Hint: context is 🔑.)

The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

Novel legal theories and a lower bar for plaintiffs could unleash an explosion in ERISA-based lawsuits against 401(k) plan providers.

A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.