Taxpayers face a penalty known as an individual shared responsibility payment if they do not comply, IRS says.

Institutions are regularly compiling large amounts of data in their quest for enhanced disclosure, an expert writes.

New solutions offer plenty of features but lack focus.

Susan Axelrod will leave the self-regulator after 28 years on the job.

Oct. 30: After experiencing two major bear markets, younger generations are demanding products that are easy to understand and offer transparency.

Speaking to hundreds of industry executives, Jay Clayton said his agency can't simply supplant the Department of Labor.

The advisor reportedly sold $48,500 worth of securities in a purported computer products wholesaler without disclosing the transactions to his then employer, J.P. Morgan Securities.

The move comes as part of a wider push to deepen the firm’s offerings across income-generating assets.

CEO Jim Cracchiolo reported record client assets and a sharpened focus under the fiduciary rule.

"This bill is a giant wet kiss to Wall Street,” Senator Elizabeth Warren says.

The rep used an unauthorized ATM card to withdraw $1,000 from a bank customer's account, FINRA claimed.

The manager expects the rule would remove some of the impediments faced by wannabe ETF issuers.

The federal exemption does not cancel out key planning matters affecting everyone at death.

Two hundred fraudulent wire transfers were made over more than a decade, says the regulator.

The independent broker-dealer’s executive team hopes the SEC works with the DoL to develop an industry standard.

State administrators find reason for scrutiny in advisors’ increasing use of flat fees.

IHT Wealth Management now has $2.4 billion in client assets.

Advisors should address client issues in-house, which sometimes means taking a hard look at supervisory controls, regulators say.

Clients are looking to be reassured about the security of their data.

Bernard Parker spent his client's money on his home, car and father-in-law’s bills, according to federal prosecutors.