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

Federal Regulation

SEC to Remove Regional Directors: Report

By Melanie Waddell
Federal Regulation

Senate Panel OKs Labor Secretary Nominee

Litigation

Judge Denies Ameriprise Restraining Order Against 3 Advisors Who Left for LPL

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Webcasts

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2025 Advisor Wealthtech Survey Results: Key Takeaways

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How to Scale Financial Planning Without Compromising Efficiency

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Are you prepared? What Early Policy Changes Mean for Compliance in 2025

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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

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Ex-Raymond James Rep Made Unauthorized Trades in Older Client's Account: FINRA
Ex-Raymond James Rep Made Unauthorized Trades in Older Client's Account: FINRA
IRS Plans to Cut Thousands of Workers by Mail
IRS Plans to Cut Thousands of Workers by Mail
Trump Is Lying About Social Security: Advocacy Groups
Trump Is Lying About Social Security: Advocacy Groups
12 States Where the Top 1% Earn the Most
12 States Where the Top 1% Earn the Most

State Regulation

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Florida’s DeSantis Pushes Unusual Plan to Abolish Property Taxes
Florida’s DeSantis Pushes Unusual Plan to Abolish Property Taxes
Two Former UBS Advisors Say Firm Broke Wage Laws
Two Former UBS Advisors Say Firm Broke Wage Laws
Texas Advisor and Radio Host Faces New Charges in Federal Fraud Probe
Texas Advisor and Radio Host Faces New Charges in Federal Fraud Probe
Annuity Regulators Should Look Harder at Cayman Islands, CEO of Athene's Parent Says
Annuity Regulators Should Look Harder at Cayman Islands, CEO of Athene's Parent Says

Legislation

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Trump Bends Congress to His Will on Tax Cut Agenda
Trump Bends Congress to His Will on Tax Cut Agenda
New Bill Raises Social Security Benefits $2,400 per Year
New Bill Raises Social Security Benefits $2,400 per Year
Tax Cut Chances Rise as House Passes Budget Targeting Safety Net
Tax Cut Chances Rise as House Passes Budget Targeting Safety Net
Senators Revive Estate Tax Repeal Bill
Senators Revive Estate Tax Repeal Bill

Litigation

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LPL, Ex-Ameriprise Advisor Take a FINRA Hit in Recruiting Battle
LPL, Ex-Ameriprise Advisor Take a FINRA Hit in Recruiting Battle
Two Former UBS Advisors Say Firm Broke Wage Laws
Two Former UBS Advisors Say Firm Broke Wage Laws
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJ
Advisor Tried to Threaten Witnesses, Bribe Officials in His Fraud Case: DOJ
Ameriprise 'Chasing Headlines' in Client Data Dispute, LPL Argues
Ameriprise 'Chasing Headlines' in Client Data Dispute, LPL Argues

Cybersecurity

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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
SEC X Account Hack Over Bitcoin ETF Post Leads to Guilty Plea
SEC X Account Hack Over Bitcoin ETF Post Leads to Guilty Plea
As Wire Fraud Claims Rise, Advisors May Find They Aren’t Properly Insured
As Wire Fraud Claims Rise, Advisors May Find They Aren’t Properly Insured