Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.

The tax basis can change when homeowners compute depreciation, loss or gain for sales purposes.

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.

Without the marital deduction, a certain category of married clients will have challenges inheriting property outright.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.

Although FINRA cannot investigate potential wrongdoing by these former employees, state regulators are expected to do so.

A patented structure allows ETFs to report once a quarter in an effort to protect their intellectual property.

Wild price swings that have exceeded double-digit percentages in a single day have spurred the regulator to keep a close eye on volatility.

The IBD’s corporate RIA didn’t require about 350 banks to provide clients the terms of its arrangement.

Despite raised thresholds, advisors can still find big itemization opportunities if they know where to look.

Charlie Scharf’s most immediate priorities include mending fences with regulators and getting the bank out from under a Fed-imposed asset cap.

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.

Deciding what does or doesn’t constitute a “material change” can be a tough call.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

The firm has argued that a demand for emails and other records by the agency earlier this year was unduly burdensome.

The employee and independent BD collected excess UIT commissions and failed to properly review inactive accounts, the regulator says.

The regulator’s move follows a Financial Planning investigation into whistleblowing by former JPMorgan financial advisor Johnny Burris.

Alternative compensation structures may provide more consumer protection, and drive higher client satisfaction.

The demands come following a Financial Planning investigation revealing how JPMorgan’s Chase Private Client group used false evidence to get rid of an advisor.

NASAA’s annual survey of regulators sheds light on legal proceedings against BDs, RIAs and unregistered firms that often go unnoticed in the wider industry.