UBS executives estimate their plan to raise rates on certain accounts will cost the firm $50 million. A new suit cites that as evidence that the firm "violated its obligations to its clients."

The decision hinging on the definition of "inventory" in the sale of a highly valuable position in a U.S. partnership resolved a saga that began 16 years ago.

Analysts say that firms that are forced to start paying clients higher rates may have to raise their advisory fees and cut costs to make up for the revenue losses.

The Federal Trade Commission says it's weighing a likely appeal of the ruling.

The new rule comes after advisors had expressed concerns about personal safety and data privacy.

The guidance in Notice 2024-63 is for employers that want to employees' student loan payments.

The outcome of the November election is likely to have a significant effect on interest rates, tax cuts and deregulation — in turn affecting client portfolios.

Vice President Kamala Harris and former President Donald Trump have laid out widely divergent plans for handling the sunset date for many parts of the TCJA.

From hashtags to hyperlinks: Here are best practices for advisors who post on social media, from experts in the industry and the financial regulatory authorities.

A FINRA study found nearly 400 firms, or 65% of the broker-dealers surveyed, have some hand in crypto assets and trading, as the once-novel asset class becomes normalized. But that still doesn't make it normal for regulators.

An LPL independent contractor accuses the firm of not doing enough to stop salacious remarks directed at him that started after a top Bank of Springfield executive learned he was gay.

Regulators have been working their way steadily down from the biggest players in the industry to regional firms in their quest to stamp out abuses of "off-channel" communications.

Cadaret Grant agreed to fines to clear up allegations that it had failed to disclose conflicts with costly mutual funds and sweeps accounts.

The litigation comes amid heated debate over a Department of Labor rule meant to prevent excessive fees on sales of insurance products.

Heirs and their financial advisors should start figuring out how to minimize the tax impact of the end of the so-called stretch strategy, experts said.

The wealth management giant questions if there has ever been so large a civil sanction handed down in response to "negligent mistakes" made in an attempt to comply with "unwritten rules."

Fears — including running afoul of regulators or garnering ego-crushing reviews — have kept advisors behind the curve of an already ubiquitous marketing practice. Here's how advisors can play catch-up.

While AI tools like ChatGPT are abundant, there's no guarantee compliance will approve it for office use. Here are some tips for getting new tech through the gauntlet.

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

Prosecutors accused firm founder David Gentile and his partner of putting at risk more than $1.8 billion raised from thousands of investors.