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

Digital Assets, Taxes, Regulatory Pause Top New Year Focus: SIFMA

By Melanie Waddell
Portfolio

SEC Launches Crypto Task Force

Regulation and Compliance

Trump Names Mark Uyeda as Acting SEC Chairman

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Webcasts

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The Future of HNW Success: 2025 Investment and Planning Trends

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

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Podcasts

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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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IRS' New Roth Catch-Up Contribution Guidance: The Details
IRS' New Roth Catch-Up Contribution Guidance: The Details
7 Need-to-Know Details About Tax-Exempt Gifting
7 Need-to-Know Details About Tax-Exempt Gifting
Trump Blocks Medicare's Efforts to Create a $2 Prescription Drug List
Trump Blocks Medicare's Efforts to Create a $2 Prescription Drug List
Social Security Fairness Act Sets ‘Disturbing’ Precedent: Cato
Social Security Fairness Act Sets ‘Disturbing’ Precedent: Cato

State Regulation

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This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really Work
This Ohio Regulator Will Help Shape How U.S. Annuity Sales Rules Really Work
Edward Jones to Pay $17M Over Front-Load Commissions
Edward Jones to Pay $17M Over Front-Load Commissions
New York State Bill Could Double Annuity Income Tax Exemption for Older Residents
New York State Bill Could Double Annuity Income Tax Exemption for Older Residents
Washington State’s Wealth Tax Debate Is Heating Up
Washington State’s Wealth Tax Debate Is Heating Up

Legislation

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10 House GOP Health Program and Tax Change Ideas
10 House GOP Health Program and Tax Change Ideas
14 Tax Changes Republicans Could Make in 2025
14 Tax Changes Republicans Could Make in 2025
Did the Trump Tax Cuts Pay for Themselves?
Did the Trump Tax Cuts Pay for Themselves?
What's Next for Trump’s Tax Policies and Other Plans?
What's Next for Trump’s Tax Policies and Other Plans?

Litigation

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Judge Dismisses Hollywood Managers’ Suit Against Goldman, Focus Financial
Judge Dismisses Hollywood Managers’ Suit Against Goldman, Focus Financial
Debate: Does ESG Investing Breach Plan Sponsors’ Duty of Loyalty?
Debate: Does ESG Investing Breach Plan Sponsors’ Duty of Loyalty?
Federal Appeals Court Rules on How to Read a Life Insurance Policy
Federal Appeals Court Rules on How to Read a Life Insurance Policy
How to ‘Bulletproof’ a Will With a No-Contest Clause
How to ‘Bulletproof’ a Will With a No-Contest Clause

Cybersecurity

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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
Ex-Intern Waged Smear Campaign Against Raymond James, Suit Alleges
Ex-Intern Waged Smear Campaign Against Raymond James, Suit Alleges
Fake WisdomTree Execs Duped Over 1,000 Investors: Lawsuit
Fake WisdomTree Execs Duped Over 1,000 Investors: Lawsuit
How Advisors Can Protect Clients From Instant Payment Fraud
How Advisors Can Protect Clients From Instant Payment Fraud