Reg BI would boost sales because the products fill a pressing need for income over long lifespans, the executives say.

Advisors can help by being familiar with tax relief options that might be available to affected clients. Here's what to look for.

Nuveen has pared allocations to non-U.S. developed market equities, while JPMorgan is dialing back global stocks positions in favor of U.S. shares.

This is your last chance to use a tax strategy that was unfairly demonized by some lawmakers during tax reform debates.

Think you’ve already optimized client portfolios? Think again.

Can FINRA suspend the advisor’s license?

Noting how retirement saving has changed, the executive says the “responsibility we have for people’s savings is awesome.”

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?