A frequent subject of SEC enforcement complaints and examinations can cause newer firms pain if they don't follow the rules.

Lawmakers introduced two pieces of legislation to completely eliminate taxes on Social Security benefits and extend the premium tax credits for health insurance for one year

The technology can sift through large data sets at a rapid clip, which means advisors need to be proactive about documentation, self-examination and implementation of AI as infrastructure.

How to avoid FINRA and SEC blowback as the AI arms race pushes advisory firms into regulatory hot zones.

Errors and omissions policies may not represent the most exciting aspect of launching an advisory firm, but experts say custodians often require firms to purchase this and other insurance.

The IRS posted guidance just in the nick of time for some taxpayers on the treatment of research and experimentation expenses under the new tax law.

Vanguard was accused of giving advisors incentives to enroll clients in certain financial service without disclosing how they were being compensated.

Citi wealth head Andy Sieg went on Fox Business to deny allegations about workplace misbehavior. Industry experts say that's a good sign he's going to stick around, at least for a while.

The Internal Revenue Service has provided guidance on how to deal with the restoration of full expensing of research and development costs under the One Big Beautiful Bill Act.

The Trump administration's big tax legislation has plenty for the real estate industry to like, says an expert from Baker Tilly.

Even though the One Big Beautiful Bill Act made substantial changes in the Tax Code, one area where that may not be seen so much is in terms of simplification.

Also this month in our disciplinary digest, a frequent CNBC analyst is sentenced to five years in prison for defrauding investors, and a former Fidelity advisor faced charges after borrowing millions from clients.

The question has turned into something of a paradox because of the related, but different, rise of RIAs and how that has affected independent brokerages.

At Financial Planning's recent AI Virtual Summit, Sameer Munshi of EY Consulting discussed how advisors could use the burgeoning technology to safely test client messaging and more.

Ryan's selection may indicate an SEC aiming to resolve more violations by other means than enforcement actions, one lawyer said.

The tide is in the wirehouse's direction in its fights with advisors who've left for rival firms.

As head of the SEC's enforcement division, Margaret Ryan is expected to pursue the administration's priority on fighting fraud and insider-trading cases, while taking a lighter touch than her precessor with the crypto industry.

The Internal Revenue Service issued answers to frequently asked questions about the soon-to-expire tax credits for solar and wind power and electric vehicles.

Recruiters say firms routinely cover advisors' lost deferred compensation in offer packages. Those deals are complicating efforts by advisors who contend they're still owed backpay.

What tips qualify, which don't, how to file and more.