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.

The transparency of a fee charged to other fund firms for use of the platform is allegedly questioned.

A financial advisor at another firm says he was promised a lower mortgage rate at Bank of America if he deposited money into his Merrill Edge account.

Not knowing a FINRA rule can’t save an advisor from statutory disqualification.

Some clients may experience a taxable event that pushes them into a higher tax bracket.

The IBD is one of three dozen firms the regulator has accused of failing to provide sales-charge waivers to eligible retirement plans and charities since 2015.

Firms can expect scrutiny of their compliance with the regulator's Custody Rule, compensation and account placement.

The last government shutdown highlighted how many Americans ignore basic planning lessons.

Clients can avoid tax liability on their capital gains by donating securities that have appreciated in value, an expert says.

Between the SEC's proposed Regulation Best Interest and developing state rules, advisors and brokers may have their hands full.

It's the first regulatory ding for the influential advisor and entrepreneur in almost 15 years.

The No. 1 IBD plans to offer training and education and team up with reps on outreach to officials.

Market skepticism is one of several hurdles for RIAs, says Walters. Compliance fears are another.

Clients have received a combined $3.7 million in settlements involving two barred former reps of the IBD set to be acquired by Atria Wealth Solutions.