Advisors from across 79 branches were involved in selling offerings to family members and other brokers, including stock in Facebook, General Motors, LinkedIn and Twitter.

One of the major provisions of proposed legislation would require 401(k) plans to offer annuities so participants could create new income streams.

The SEC has cited concerns about manipulation as a top worry that must be addressed before it approves a bitcoin ETF.

The regulator laid out detailed guidelines for how planners should be communicating with clients electronically.

The Trump tax cut may have changed the calculus for some couples filing joint returns.

Former Securities America rep Hector May carried out a 20-year scam through his outside RIA, according to prosecutors

Robinhood Financial has rebranded its service, deleted tweets about its launch and scrubbed the page from its website.

The fintech's new products may violate several banking and securities regulations, industry officials say.

The following tips may help clients minimize their liability.

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

The fintech did not contact the Securities Investor Protection Corporation to discuss protection for deposits, according to its CEO Stephen Harbeck.

When faced with a regulatory challenge, advisors can’t be afraid to question authorities.

The product, which allows investors to purchase virtual currencies on their exchange, hits the market at a low point for bitcoin.

After Dec. 31, spouses responsible for paying alimony won’t get a tax deduction, due to a change under the Tax Cuts and Jobs Act.

Macroeconomic trends and matters of convenience will move advisors, assets and markets next year in the ever-changing wealth management space.

Working parents who paid for day care, summer camp or a babysitter on the books are advised to take advantage of this break.

The regulator details numerous (and familiar) compliance failures in its annual summary of exam findings.

"We said, 'Even though we are drinking water in the bar, there are too many drunks, so let's not go into the bar.'"

As a fiduciary, "I realized I wasn't putting their best interests first by keeping them," says advisor Tony D'Amico of Fidato Wealth.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.