The Internal Revenue Service is extending the transition period for revising claims for the research and development tax credit through Jan. 10, 2026.

The bulk of the haul came from the bankrupt crypto company Terraform Labs. But Morgan Stanley, LPL Financial, Ameriprise and other big firms also came under scrutiny.

FINRA must let the SEC weigh in before it can cast out one of its members, a three-judge panel of the U.S. Court of Appeals for the District of Columbia found.

The SEC Chair oversaw a sweeping rulemaking agenda that drew resistance from many advisory and brokerage industry representatives.

A government watchdog reports that Labor Department regulations haven't made much of an impact on the levels of disclosure and comprehension.

Whoever is named SEC chair by the president-elect is likely to take a lighter hand on crypto, AI and "regulation by enforcement."

Business goals cannot always put clients' best interests first. Here's why even the executives leading fast-expanding advisory firms say the critics have a point.

The numbers are getting murkier, and the politics with a slim majority in the House and the minutiae of Senate reconciliation rules look anything but easy.

The incoming GOP majorities in the House and Senate mean Trump can enact a tax bill without making concessions to Democrats.

Former financial advisors accused the firm of filing false disclosures about a template invoice their onetime employer claimed they sent to clients.

Big firms would be paying $415,000 a year more by 2029, while most brokers would see a far smaller hit.

A lawyer in the case says his legal team was able to present text messages showing a Stifel wealth manager had been touting complex structured notes as low-risk investments.

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.