The 990-T form involved in the incident is used by both tax-exempt groups and individuals with some retirement accounts invested in certain assets, including master limited partnerships and real-estate investment trusts.

Here’s why we should be so optimistic.

The more than 30 penalties include six public censures, one temporary bar, seven suspensions, 12 permanent bars and seven revocations.

The proposed $1.4b billion acquisition was to be the centerpiece of CEO Ralph Hamers' plans to broaden the focus of UBS beyond its traditional customer base.

Asset managers and technology firms are luring retail advisors into alts with easier access and promises of diversification and enhanced returns. Here's what advisors themselves think about broadening their client portfolios.

UBS and Wealthfront announced Friday that they've mutually agreed to terminate their merger agreement. 

The CFP Board reversed Joseph Whitney's interim suspension after New Jersey prosecutors dismissed criminal charges of conspiracy against him.

Their ability to move markets is being offset by increasingly bearish institutional investors taking cues from the Federal Reserve.

At least half of the recipients will be from populations underrepresented in the profession.