Regulation and Compliance

Get in-depth news and analysis on the latest regulatory and compliance issues, including litigation impacting the financial services industry and cybersecurity rules.

Federal Regulation
State Regulation
Legislation
Litigation
Cybersecurity

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The Path to Independence: Navigating the Four Key Dimensions for RIAs

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Preparing Portfolios for 2025: Macro Outlook, Bond Strategies and ETF Trends

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The Future of Direct Indexing: Elevate Your Practice

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Financial Peace of Mind

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American Endowment Foundation Brings Charitable Giving to Local Communities

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How Orion Leverages Tech Know-How and Behavioral Finance for Advisors

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Federal Regulation

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Are Small-Business Clients Ready for This Looming Deadline?
Are Small-Business Clients Ready for This Looming Deadline?
Atkins, Ex-SEC Commissioner, Could Succeed Gensler
Atkins, Ex-SEC Commissioner, Could Succeed Gensler
More Than 60 Brokers Hit With FINRA Sanctions Over CE Cheating
More Than 60 Brokers Hit With FINRA Sanctions Over CE Cheating
Court Strikes Down SEC Dealer Rule: SEC Roundup
Court Strikes Down SEC Dealer Rule: SEC Roundup

State Regulation

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BlackRock, Vanguard and State Street Sued by 11 States
BlackRock, Vanguard and State Street Sued by 11 States
Kentucky Advisor Accused of Bilking 73-Year-Old Client
Kentucky Advisor Accused of Bilking 73-Year-Old Client
5 Ways Trump's Election Could Affect Life and Annuity Players
5 Ways Trump's Election Could Affect Life and Annuity Players
Millionaire Tax Vote Opens Door to New Clash Over Chicago Wealth
Millionaire Tax Vote Opens Door to New Clash Over Chicago Wealth

Legislation

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Expect Secure 3.0 and a Major Tax Bill Next Year
Expect Secure 3.0 and a Major Tax Bill Next Year
Debate: Do Taxpayers Benefit From New Hardship Distribution Rules?
Debate: Do Taxpayers Benefit From New Hardship Distribution Rules?
5 Ways Trump's Election Could Affect Life and Annuity Players
5 Ways Trump's Election Could Affect Life and Annuity Players
Ahead of Key Tax Fight, Republicans Win Senate Control
Ahead of Key Tax Fight, Republicans Win Senate Control

Litigation

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Morgan Stanley: Advisor Who Left for Raymond James Solicited Another Rep's Clients
Morgan Stanley: Advisor Who Left for Raymond James Solicited Another Rep's Clients
Fidelity Resolves Reg BI Suit With Fired Advisor
Fidelity Resolves Reg BI Suit With Fired Advisor
Ex-Wells Fargo Rep Gets 3 Years in Prison for $4M Health Care Scheme
Ex-Wells Fargo Rep Gets 3 Years in Prison for $4M Health Care Scheme
Ex-Branch Manager Accuses Wells Fargo of 'Extreme and Outrageous' Conduct
Ex-Branch Manager Accuses Wells Fargo of 'Extreme and Outrageous' Conduct

Cybersecurity

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Globe Life Reports Extortion Threat Involving Customer Data
Globe Life Reports Extortion Threat Involving Customer Data
Banks Brace for Era of Consumer Data Sharing
Banks Brace for Era of Consumer Data Sharing
Fidelity Reports Data Breach Hitting 77,000 Clients
Fidelity Reports Data Breach Hitting 77,000 Clients
Wells Fargo Client Sues Over Data Breach
Wells Fargo Client Sues Over Data Breach