Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

The last government shutdown highlighted how many Americans ignore basic planning lessons.

Clients can avoid tax liability on their capital gains by donating securities that have appreciated in value, an expert says.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Market skepticism is one of several hurdles for RIAs, says Walters. Compliance fears are another.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.

No client wants to pay up. But, some could benefit from more tax exposure in retirement than actual spending.

Modifications should be made as soon as they determine their liability for 2018 and the impact of the new law on their returns, an expert says.

Changes to the law meant some taxpayers needed to adjust their withholding. Many were confused about how to do so.

Former SEC economists faulted the regualtor for what they called “weak and incomplete” economic analysis.

A new consumer financial protection bill would expand duties for brokers and insurance providers.

“The board's record of summarily approving mergers raises doubts about whether it will serve as a meaningful check on this consolidation that creates a new too big to fail bank,” Sen. Elizabeth Warren said in a letter to the Fed.

House Financial Services Chairwoman Maxine Waters said the merger is a direct result of a regulatory relief bill that was signed into law in May.

Two advisors who joined Alex. Brown after the Deutsche Bank acquisition in 2016 seek to void the FINRA panel's arbitration decision in a court challenge.

Multiple rate hikes by the Fed last year contributed to less-than-stellar results.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.

Seniors are more likely to opt for the standard deduction, which increased under the new tax law, but those who want to maximize their deductions have several considerations.