Companies that haven’t released financial reports for extended periods of time are expected to be put under the microscope.

It’s another example of how impactful an update to broker standards of conduct could be.

Not all firms have procedures in place. Of those that do, about 20% aren’t enforcing them.

Dick Lampen says the SEC charges against Dr. Phillip Frost, the firm’s primary shareholder, won’t affect its “significant” other resources.

While the IBD advocacy organization supports the proposal’s approach, key questions loom over the timeline and makeup of the potential regulation.

The firm is the first to be censured for violating the Identify Theft Red Flags rule.

Those concerned about financial shortfalls in old age may want to consider selling their whole life policy. Here's how advisors can help.

Some unresolved issues haven’t received as much attention as those related to federal securities laws.

NAPFA’s chairman sees an “untapped market” opening up.

The effective tax rate on qualified dividends for those in the highest income tax bracket fell.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

In my view, the organization puts its own growth ahead of enforcing its certificants’ fiduciary standards. This holds us back from being seen as a true profession.

Recent tax law changes make gifting from an IRA an even better bet.

Dr. Phillip Frost, the principal shareholder of the IBD network’s parent firm, has stepped down, giving way to CEO Richard Lampen.

But the benefits are not evenly distributed among taxpayers.

The IRS estimates alternative minimum tax filings will decrease to 1 million from 10 million as a result of the law.