The independent broker-dealer accidentally published a list of credits of its most lucrative advisors.

Like the industry it oversees, the regulator has rising technology and compensation costs.

Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.

The regulator is looking into whether brokers made appropriate share class recommendations for the plans as a result of the new law.

The tax law has made deducting philanthropic contributions more difficult, but there are ways to help clients reap benefits from their generosity.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Changing filing statuses and maxing out deductible contributions to IRAs and HSAs are some ways clients received bigger reimbursements.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

Changes have left some clients surprised by tax bills or tiny refunds. How to explain what happened and prep them for next year.

Industry veterans and newcomers offer their takes on key issues facing asset management companies.

Those who fail to repay their loans on time may face early withdrawal penalties.

Even as BDs transition from their commission roots, too many still treat advice as a liability.

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

The transparency of a fee charged to other fund firms for use of the platform is allegedly questioned.

A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.

Some clients may experience a taxable event that pushes them into a higher tax bracket.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.