Regulators say Invesco felt pressure to overstate its investment support for environmental, social and governance causes for fear that hundreds of billions in AUM would walk out the door.

The criticism from the largest brokerages, investment banks and asset managers runs the other way from that of planners who argue the guidelines are insufficient.

A judge's opinion is likely to be cited in scores of arbitration cases in which ex-advisors say they are still owed money from big wealth management firms.

Target-date fund holders who invested through taxable accounts absorbed a giant capital gains distribution because of the firm's flub, the plaintiffs say.

Industry lawyers predict the next head of the Securities and Exchange Commission will try to be more accomodating of the ever-changing digital assets industry.

At a minimum, president-elect Donald Trump can make two appointments to the Federal Reserve Board of Governors and choose new leadership. But more substantial changes could be in the offing.

The Internal Revenue Service may be facing steep cuts in its budget with the win on Tuesday night of President-elect Donald Trump.

After an exhausting presidential campaign, here are the key policy, investment strategy and practice management topics for financial advisors and their clients.

The return of the former president to the White House gives him an opportunity to deliver on his many tax promises.

The regulators' organization is also seeking to let state regulators enforce the same Reg BI conduct standard that federal watchdogs now apply to broker-dealers.