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

Top Regulation and Compliance Stories

Regulation and Compliance

10 Worst Financial Advisor Cases of 2025

By Dinah Wisenberg Brin
Retirement Planning

IRS Pushes Back Deadlines in Proposed RMD Regs

Life Health

CFP Board Seeks Feedback on Competency Standards

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Webcasts

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Trump's Market Impact: Navigating Opportunities in AI, Crypto and ETFs

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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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Podcasts

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Discovering your Greatest Tool

 Cambridge Investment Research, Inc. (Sponsored) Listen Now

A New Framework for Fee-Based Annuities with David Lau

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Bogart Wealth Uses Education to Develop a New Generation of Advisors

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Federal Regulation

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SEC Fines RIA Over Marketing Rule Violations
SEC Fines RIA Over Marketing Rule Violations
JPMorgan, BofA and Wells Fargo Sued Over Alleged Zelle Fraud
JPMorgan, BofA and Wells Fargo Sued Over Alleged Zelle Fraud
Edward Jones, Cambridge and Osaic to Pay Clients $8.2M Over Excess Fees
Edward Jones, Cambridge and Osaic to Pay Clients $8.2M Over Excess Fees
Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges
Wells Fargo and LPL to Pay $1.8M to Settle SEC Charges

State Regulation

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San Antonio Advisor and Radio Host Charged With Obstructing FBI Probe
San Antonio Advisor and Radio Host Charged With Obstructing FBI Probe
Former Agent Charged With $900K Long-Term Care Insurance Fraud in California
Former Agent Charged With $900K Long-Term Care Insurance Fraud in California
LPL Network Firm Worker Pleads Not Guilty to Double Murder
LPL Network Firm Worker Pleads Not Guilty to Double Murder
BlackRock, Vanguard and State Street Sued by 11 States
BlackRock, Vanguard and State Street Sued by 11 States

Legislation

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What the New $1.9T Spending Law Means for Life and Annuity Legislation
What the New $1.9T Spending Law Means for Life and Annuity Legislation
Biden Signs Anti-Shutdown Bill With Some Medicare Funding Provisions
Biden Signs Anti-Shutdown Bill With Some Medicare Funding Provisions
Senate Passes Bill to Curb Contentious Social Security Rules
Senate Passes Bill to Curb Contentious Social Security Rules
What Really Gets Shut Down When Government Spending Stops
What Really Gets Shut Down When Government Spending Stops

Litigation

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Merrill to Settle Overtime Suit for $4.9M
Merrill to Settle Overtime Suit for $4.9M
Schwab Seeks to Block Former Advisor From Soliciting Clients
Schwab Seeks to Block Former Advisor From Soliciting Clients
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
FINRA Awards $4.8M to Baird in Raymond James Poaching Dispute
LPL Agrees to Purge Data From Recruited Ameriprise Advisors
LPL Agrees to Purge Data From Recruited Ameriprise Advisors

Cybersecurity

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Lawsuit: Schwab, BofA Failed to Protect Older Couple Scammed Out of $18.5M
Lawsuit: Schwab, BofA Failed to Protect Older Couple Scammed Out of $18.5M
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