The potential for higher rates in 2021 is real, but exactly what the rate would be, and who would pay those rates, is far from certain.

The one-two punch of major tax laws passed within four months of each other creates some interesting puzzles for advisors to solve.

The decisions clients make now can play a significant role in how much will be forgiven.

Fake name, phony credentials, Ponzi-like payments but real victims — this is what authorities are saying about this business.

Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.

A group of 25 Democrats in the House wrote to congressional leaders asking them to provide $12.1 billion in funding for the Internal Revenue Service, including $5.2 billion for enforcement, with an eye toward cracking down on high-income tax cheats.

Maybe not, says FINRA — but if you’re IM’ing, using slides during the virtual meeting, or recording it, probably yes.

The rules address the definition of real property, and how to handle personal property included in an exchange.

The Office of the Comptroller of the Currency says JPMorgan Chase’s fiduciary unit lacked sufficient controls to manage risk and avoid conflicts of interest.

Existing regulations that protect investors and deliver clarity to the industry must be preserved by the incoming administration, writes Financial Services Institute CEO Dale Brown.

The guidance clears up the tax treatment of expenses when a loan from the Paycheck Protection Program hasn’t been forgiven by the end of the year.

Five firms agreed to pay $3 million to settle an SEC investigation into unsuitable sales of complex exchange-traded products.

While FINRA rules spell out what brokers generally need to determine a client's financial situtation, there can be gray areas, an expert says.

Democrat Joe Biden is expected to name his SEC chairman pick in the coming weeks.

The former U.S. attorney for the Southern District of New York was also once a top aide to Senate Minority Leader Chuck Schumer.

OCIE's recent exam initiative uncovers widespread supervision shortfalls in large, geographically dispersed firms.

With a new administration, the regulator has an opportunity to renew its focus on a key pillar of its mission.

With a divided government, some proposals are bound to change as part of the give-and-take of the legislative process, writes Skip Schweiss.

Big changes to regulations and retirement planning could be in the mix following the Democrat’s election victory.

With a Democrat set to take the White House in January, the agenda for agencies like the CFPB could undergo a rapid transformation, housing finance reform could be turned on its head and progressive banking ideas that were unthinkable over the past four years could gain traction.