With tax authorities scrutinizing partnerships, CPAs and tax pros need to think more strategically about filing for extensions.

The case is the latest to emphasize advisors' obligations to let investors know when they receive money for recommending certain mutual fund products.

The agency has indicted almost 800 people for COVID fraud, and has a 98.5% conviction rate.

The lengthy sentence marks a final chapter in a controversy that has captivated and overshadowed the crypto industry.

Both Donald Trump and Joe Biden have begun laying out their visions for the Tax Code.

A federal judge has signed off on the bankrupt crypto firm Genesis Global Capital's settlement with the Securities and Exchange Commission over allegations a digital-asset lending program it helped run violated the agency's rules.

Misconduct categories, new sanction factors and tweaks to the oversight procedure finish a process that started in 2016, General Counsel Leo Rydzewski said.

Regulators contend two firms falsely advertised themselves as the first to apply artificial intelligence to investment recommendations.

A federal court has temporarily halted the Securities and Exchange Commission's climate-related disclosure rule in response to a lawsuit from a pair of fracking companies.

Industry lawyers think the watchdog agency may be handling low-level missteps through informal means and saving the big fines for violations that harm clients or undermine markets.

A CFP Board-commissioned survey found that the vast majority of retirement savers think fiduciary standards for rollovers are already in place or should be.

Some companies are misrepresenting when food and wellness expenses can be paid for by FSAs, HSAs and other health spending plans.

One of the largest independent wealth management firms faces a big potential SEC judgment in a case that sheds light on industry revenue-sharing practices.

The Financial Services Institute continues to push for a return to a Trump Administration rule it contends offered clarity in employment questions.

A divided Securities and Exchange Commission approved a new rule to require companies to provide climate-related disclosures, but scaled back the original proposal.

A new GAO study adds more fuel to the research suggesting the agency should be probing more rich households. Tax pros say those efforts will have big implications.

A lawyer says the industry has been on notice at least since the "Boom Boom Room" scandal of the 1980s that hostile workplaces won't be tolerated.

Planners who recommend the increasingly popular charitable vehicles could face penalties for what's currently a pretty common practice in the industry, experts say.

The Fed's decision to keep interest rates unchanged and FINRA's battle for its continued existence are among the developments on Capitol Hill that are critical to wealth managers.

The CFA Institute analyzed 110 videos and other social media posts. Here's what financial advisors and other investment professionals should know.