The latest revision to state regulators' guidelines for non-traded real estate investment trusts could change who can invest and how advisors can recommend the products to clients.

Attorneys and other compliance experts say it's important that financial advisors greet any type of negative feedback with a thoughtful response — especially if it could turn into a legal matter.

After right-wing activist Charlie Kirk was killed, some workers found out the hard way that personal social posts had professional consequences. Experts say the time for firms to strengthen policies is now.

The Internal Revenue Service and the Treasury issued final regulations on the new Roth catch-up contribution rule from the SECURE 2.0 Act.

In its third suit in as many months, JPMorgan is accusing a former advisor of using its banking referrals to build a book of business and then trying to abscond with those clients to a rival firm.

Raymond James accuses the widower of an advisor of using data stored on his wife's company-issued computer to solicit clients for a rival firm.

Citi top executive Jane Fraser is the latest representative of the megabank to publicly express support for Andy Sieg following revelations that he had been the subject of an outside investigation by a law firm.

Fewer than 3% of U.S. advisory firms report registrations with foreign regulators, and the meager ranks reflect the difficulty of breaking into international markets.

In an opinion sought by Morgan Stanley, the Department of Labor finds the firm's deferred compensation "appears to be a bonus program" used to reward loyalty and good behavior and not a retirement benefit.

As AI use expands in wealth management, so too does regulatory risk. Experts at Future Proof shared what questions RIAs should ask vendors, along with tips on implementing firm-wide AI guardrails.

A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Lawmakers introduced two pieces of legislation to completely eliminate taxes on Social Security benefits and extend the premium tax credits for health insurance for one year

The technology can sift through large data sets at a rapid clip, which means advisors need to be proactive about documentation, self-examination and implementation of AI as infrastructure.

How to avoid FINRA and SEC blowback as the AI arms race pushes advisory firms into regulatory hot zones.

Errors and omissions policies may not represent the most exciting aspect of launching an advisory firm, but experts say custodians often require firms to purchase this and other insurance.

The IRS posted guidance just in the nick of time for some taxpayers on the treatment of research and experimentation expenses under the new tax law.

Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.

Citi wealth head Andy Sieg went on Fox Business to deny allegations about workplace misbehavior. Industry experts say that's a good sign he's going to stick around, at least for a while.

The Internal Revenue Service has provided guidance on how to deal with the restoration of full expensing of research and development costs under the One Big Beautiful Bill Act.

The Trump administration's big tax legislation has plenty for the real estate industry to like, says an expert from Baker Tilly.