With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

FINRA Rule 3210 typically requires permission for brokerage accounts.

It could be the most significant update to advisor standards of conduct in years.

The approved legislation relaxes rules for retirement savers.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

Swiss banks face pressure across Europe, with prosecutors in France, Germany and Italy accusing them of helping clients hide money from tax authorities.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.

The rule requires greater public input, an industry trade group says.

The regulator and one of its largest members, LPL Financial, engaged in a back-and-forth on the controversial initiative.

When the board's new Code and Standards take effect in October, fee-only advisors will be expected to step up their compliance operations.

In one case, a 6-year-old owed $7,000 in federal taxes two years after his father, a U.S. Navy senior chief petty officer, died of a heart attack.

The tax law overhaul has created planning opportunities.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

Two factors are prompting an upsurge in career changes.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

The bank allegedly helped French clients evade taxes.

Without advisor buy-in, scale can't be achieved, the tech executive says.

The firm joins a growing roster of asset managers taking advantage of new tax breaks for investing in low-income communities.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.