Financial advisors and tax professionals with clients who own businesses of any size can help them…
Tag: Regulation and compliance
Why compliance experts embrace NASAA marketing rule
Various compliance consultants think advisors and clients alike would benefit if state regulators were playing from…
Tax planning for parents under OBBBA
The One Big Beautiful Bill Act hiked and enshrined some tax savings for parents into permanent…
How advisors can protect clients from pig butchering scams
What starts with a casual text message might end in financial ruin. Pig butchering, a type…
Crypto ETFs one step closer to mainstream after SEC rule shift
The U.S. Securities and Exchange Commission is fast helping to transform digital assets into a mainstream…
Costly lessons of regulatory cycles for wealth management
A period of deregulation has been anticipated across U.S. financial services since January’s change in administration,…
AI use tops advisor compliance headaches for first time
For the first time, artificial intelligence use is far and away the most common concern for…
UBS director accused of CE cheating resigns
A former managing director for UBS’ wealth management business in Silicon Valley is no longer with…
Appeals courts deals Morgan Stanley blow over comp
Morgan Stanley has suffered a rebuke in its attempt to have a court of appeals overturn…
Impact of House NCAA settlement on financial planning
Financial advisors’ business case for working with college athletes picked up a multibillion-dollar infusion last month…
UBS asks court to quash $1M arb award
UBS is going to court to try to overturn a $1 million arbitration penalty it was…
Should financial advisors be brokers, RIAs or both?
This is the seventh installment in a Financial Planning series by Chief Correspondent Tobias Salinger on…
Dual ETF mutual fund share classes pose challenges
The expected SEC approval of ETF share classes for mutual funds and vice versa poses more…
How should RIA financial advisors pick a fee model
This story is the fifth in a series Financial Planning Chief Correspondent Tobias Salinger is writing…
Edward Jones hits ex-broker with big arb award
In the latest legal action from a firm not content to watch its client information walk…
JPMorgan seeks restraining order for advisor at Wells Fargo
For the second time in a week, JPMorgan is suing a former advisor for alleged violations…
SEC withdraws AI, cybersecurity rules for advisors
The SEC is dropping a slew of proposals that would have heightened advisors’ responsibilities for cybersecurity,…
CFP Board forms AI Working Group
The CFP Board has convened a new AI Working Group to address the technology’s place in…
Weighing the chances of RIA arbitration reform
Investor advocates are cheering an attempt to place stricter limits on how RIAs can use arbitration…
Vanguard seeks SEC approval for tax-busting fund
Vanguard, the investment giant famous for low-cost index funds, is seeking regulatory approval to expand its…