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

Top Regulation and Compliance Stories

Federal Regulation

BD Hit With Reg BI Fine Over Annuity Exchanges

By Melanie Waddell

Two Client Couples Sue Advisor Over Risky Strategies

Ex-Marine Conned Fellow Veterans in Ponzi Scheme, SEC Says

Trending Stories

1

Wirehouse Firms

Goldman, Morgan Stanley and JPMorgan Laying Off Staff in June

2

Variable Annuity vs. 60/40 Portfolio: Which Won Wade Pfau's Retirement Income Face-Off?

3

Social Security

10 Big Social Security Mistakes Advisors Make

4

Saving for Retirement

This Simple Mistake Turns an Inherited IRA Into a Tax Bomb

5

Planning With Purpose: Trends in Guiding Clients for Values-Based Giving

Webcasts

Culture Impacts Service! The United Planners Difference

Sponsored by United Planners Watch Now

The Empathy Advantage: How Behavioral Finance is Reshaping Planning Conversations

Sponsored by Orion Watch Now

Planning With Purpose: Trends in Guiding Clients for Values-Based Giving

Sponsored by St. Jude Children's Research Hospital Watch Now

Podcasts

When Advice Matters the Most With Andrew Crowell

Jackson National Life Insurance (Sponsored) Listen Now

Getting Social Security Claiming Right With Joe Elsasser

Jackson National Life Insurance (Sponsored) Listen Now

Prudential Advisors Wants Advisors to Focus on Clients’ Diversity

Prudential Platinum (Sponsored) Listen Now

Cybersecurity

FPA Rolls Out Cybersecurity Certificate

FPA Rolls Out Cybersecurity Certificate

The IRS Dirty Dozen: Beware of These 12 Tax Scams in 2025

The IRS Dirty Dozen: Beware of These 12 Tax Scams in 2025

Citi Erroneously Credited $81 Trillion to Client Account: Report

Citi Erroneously Credited $81 Trillion to Client Account: Report

SEC Launches New Cyber Unit to Combat Fraud

SEC Launches New Cyber Unit to Combat Fraud