But the new rules may be a boon for some fintech firms.

The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.

Bonds were sold to build a development with a water park and Venice-style bridges. Now a Florida community is going bankrupt.

The legislation nullifies a strategy that previously allowed heirs to stretch an inherited account's tax-deferred growth based on their life expectancy.

The rule can create significant tax savings, but in unskilled hands it can just shift the burden elsewhere.

The regulations cut back on some forms of conflicted compensation. Here's what else to expect.

The new rule package will require firms to take a hard look at their compliance programs.

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

Brokers at the firm have expressed concern their employer and the CFP Board are on a collision course.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

Why? Three other competitors have an astounding 95.8% of market share.

With transparency about conflicts on the rise even as it varies by firm, critics question whether clients really understand complicated technical documents.

Brokerages would rather have an SEC chief appointed by a President Trump set policies than take its chances with what might happen should a Democrat win the White House in 2020.

FINRA Rule 3210 typically requires permission for brokerage accounts.

It could be the most significant update to advisor standards of conduct in years.

The approved legislation relaxes rules for retirement savers.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

Swiss banks face pressure across Europe, with prosecutors in France, Germany and Italy accusing them of helping clients hide money from tax authorities.

With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.