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.

The proposed regulations also provide guidance for taxpayers who hold interests in regulated investment companies.

Financial advisors and their firms are providing zero-interest loans, free counseling and fresh ideas for some 800,000 federal workers going without pay.

As the SEC furloughs workers, the consequences are rippling across the entire wealth management industry.

Seniors who intend to get a Medigap policy to supplement their traditional Medicare coverage may have trouble getting one.

Offices remain open and monthly Social Security checks will go out on time despite the partial shutdown.

Non-public corporate earnings reports were among the stolen information, the regulator claims.

Clients may want a new plan if there have been unfavorable changes to their old plans, they want more flexibility or because of a new illness.

Advisors should pay attention to compliance issues and evolving expectations from clients.

The law now creates a different method of caring for relatives while preserving the family’s financial plan, a John Hancock associate counsel writes.

A closed phone line to IRS support could present a significant challenge, particularly with changes to forms like the 1040, experts suggest.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

Community property rules, how to divide 401(k)s and the nuances of QRDOs are just some of the specifics advisors should know.

The growing number of independent financial advisors could spell trouble for traditional RIAs, says the head of the national advisory firm.

Nobody at the firm today owns more of its stock than Greg Palm.

Clients who intend to file as soon as they receive their W-2s are advised to start gathering their documents.