The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

The Treasury and IRS are lowering the withholding underpayment threshold to 80%.

A higher standard deduction makes itemizing deductions less valuable.

The Massachusetts Democrat has repeatedly called for Tim Sloan’s ouster due to the bank's scandals that first came to light in 2016.

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.