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

News

SEC to Restructure Regional Offices

By Nicola M. White
News

Ex-Morgan Stanley Advisor Sentenced to 12 Years in Fraud Scheme

Running Your Business

Life and Annuity Pros Need a Site Like BrokerCheck, Advocates Say

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Webcasts

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Encrypted Messaging, Unseen Risks: Navigating Compliance with WhatsApp, Telegram and Signal

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Beyond Marketing: Turning Education into Your Most Effective Growth Tool

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Guiding Clients Without Heirs | Key Strategies for Advisors

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Podcasts

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Prudential Advisors Wants Advisors to Focus on Clients’ Diversity

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How Financial Professionals Can Help Clients Overcome Financial Worry

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Discovering Your Greatest Tool

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Federal Regulation

More Stories
SEC Pushes Back on DOGE Access to Some Agency Data
SEC Pushes Back on DOGE Access to Some Agency Data
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing Scheme
Ex-Morgan Stanley Rep Barred by FINRA for Alleged Profit-Sharing Scheme
How Opening a Morgan Stanley Account Led to a Fraud Arrest
How Opening a Morgan Stanley Account Led to a Fraud Arrest
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others

State Regulation

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NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'
NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
Robinhood Prediction-Markets Arm Gets Massachusetts Subpoena
Robinhood Prediction-Markets Arm Gets Massachusetts Subpoena
Hit by 777 Partners Woes, Annuity Issuer Faces Rehab Petition
Hit by 777 Partners Woes, Annuity Issuer Faces Rehab Petition

Legislation

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Why SALT Cap for Some High Earners Gets Special Focus in Congress
Why SALT Cap for Some High Earners Gets Special Focus in Congress
Make Tax Season the Starting Line for Year-Round Planning
Make Tax Season the Starting Line for Year-Round Planning
Millionaire Tax Hike Gains Steam as Trump Signals Openness
Millionaire Tax Hike Gains Steam as Trump Signals Openness
Trump Signs Bill Blocking IRS Crypto Tax Rule
Trump Signs Bill Blocking IRS Crypto Tax Rule

Litigation

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How Opening a Morgan Stanley Account Led to a Fraud Arrest
How Opening a Morgan Stanley Account Led to a Fraud Arrest
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
SEC Won't Modify Texting Settlements for LPL, Raymond James, 14 Others
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From Widow
9th Circuit Rules for Foresters in California Life Policy Lapse Case
9th Circuit Rules for Foresters in California Life Policy Lapse Case

Cybersecurity

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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