Trade tension and a record-long government shutdown have left many in the “more defensive parts of the market,” one TD Ameritrade strategist says.

Scammers are notorious for stealing social security numbers to file fake returns, an expert warns.

A handful of states are pushing their own advisor regulations, potentially setting up a legal showdown.

State regulators and state legislature are stepping in to propose initiatives to protect consumers against salespeople wrapped in fiduciary clothing.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

A new FINRA initiative to root out breaches of supervisory rules on 529 plans provoked criticism from the IBD advocacy group.

Financial advisors are uniquely poised to help clients' families with end-of-life planning needs when doctors and lawyers can’t.

Advisors are increasingly buying tech to monitor information sharing between financial firm partners and tech vendors.

Digital tools will not only allow advisors to serve more clients, they can help advisors charge for services with greater accuracy.

As wealth managers collect more client information, it is up to advisors to understand the value of data to the business and how it needs to be handled.

The senator’s presidential ambitions are becoming another headache for the Wells Fargo CEO.

IRS data provides all the information needed to figure out the answer.

The impact of the 35-day partial government shutdown could delay the process this year.

Firms are seeking these three specialties.

To win at cybersecurity, base your strategy on the way you are already serving clients.

Many Americans affected by the partial government shutdown are tapping their retirement savings and taking other financial options.

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

Royal Alliance must pay more than $2.5 million to one ex-client while dealing with charges against the firm and a former rep by William Galvin’s office.

A group representing some of the world’s largest money managers wants the SEC to let brokers accept payments from domestic clients just for research.

Although income that is taxable is likely to increase for families with two children, their final bills will be smaller.