The rule requires greater public input, an industry trade group says.

The regulator and one of its largest members, LPL Financial, engaged in a back-and-forth on the controversial initiative.

When the board's new Code and Standards take effect in October, fee-only advisors will be expected to step up their compliance operations.

In one case, a 6-year-old owed $7,000 in federal taxes two years after his father, a U.S. Navy senior chief petty officer, died of a heart attack.

The tax law overhaul has created planning opportunities.

Under a FINRA proposal, firms with histories of misconduct would be required to set aside funds for anticipated arbitration awards.

Two factors are prompting an upsurge in career changes.

As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.

The bank allegedly helped French clients evade taxes.

Without advisor buy-in, scale can't be achieved, the tech executive says.

The firm joins a growing roster of asset managers taking advantage of new tax breaks for investing in low-income communities.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?

The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.

Increased captive insurance coverage due to expanded business in 2018 was a primary driver of a three-year high in regulatory spending, the firm says.

The earlier they begin planning, the easier it'll be to avoid a big tax hit.

The fintech company, which was forced to rebrand its cash management product last year after misleading marketing caused a backlash, is seeking a national bank charter.

The proposed rule will need substantial revisions before it wins the support of the commission's sole Democrat.