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.

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Top Regulation and Compliance Stories

Federal Regulation

FINRA Shortens Wait Times for Retaking Exams

By Melanie Waddell
Federal Regulation

New Bill Allows RIA Clients to Qualify as Accredited Investors

Federal Regulation PRO

Stifel's Rogue Broker Fiasco Highlights Risks of Structured Notes

Trending Stories

Webcasts

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Staying Ahead of the Conversation: Three Topics for Q3 Client Meetings

 Orion (Sponsored) Watch Now

NextGen Client Engagement: Planning Strategies to Capture Millennials and Gen Z

 eMoney Watch Now

When Trading Gets Complicated: Rethinking Operations for Growing Firms

 Orion (Sponsored) Watch Now

Podcasts

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Industry Trends Shaping PDP Plan Selection

 Humana (Sponsored) Listen Now

How PDP Choices Shape Health Outcomes

 Humana (Sponsored) Listen Now

Focusing on Continuing Education and Certifications

 The American College of Financial Services (Sponsored) Listen Now