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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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April 24, 2024

Ed Slott: Final DOL Fiduciary Rule Goes 'All-in' on Rollovers

   DOL

Federal Regulation

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Ultra-Rich Should Pay to Save Social Security: Poll
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOL
FTC Bans Worker Non-Compete Rules
DOL Changes Fiduciary Rule Advice Definition Scope

State Regulation

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New York Couple Sues Over Life Premium Finance Collateral Calls
Pretrial Date Nears for Ex-Broker Accused of Murdering BofA-Merrill Exec
Pass Rate and Turnout Grow for CFP Exam
BlackRock May Escape Texas Blacklist

Legislation

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Ultra-Rich Should Pay to Save Social Security: Poll
Top Lawmakers 'Pulling Out All the Stops' to Pass Tax Bill With 100% Bonus Depreciation
UnitedHealth CEO Warns of 3-Year Medicare Squeeze
House Panel OKs Bill to Limit Data Collection From Insurers

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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Litigation

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Ex-CMO Sues Carson Group Over Handling of Sexual Assault: A Timeline
FTC Bans Worker Non-Compete Rules
Ex-Carson CMO Sues Firm Over Handling of Sexual Assault
Supreme Court Case Could Upend a Key Succession Strategy

Cybersecurity

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9 Traps to Avoid With Planning Tools: CFP Board
UnitedHealth CEO Warns of 3-Year Medicare Squeeze
Ameritas Adds Pontera's 401(k) Management Platform
Dave Ramsey Imposter Scams 72-Year-Old: Report

More from Regulation and Compliance

April 23, 2024
The 2024 DOL Fiduciary Rule: A Timeline

More from Regulation and Compliance

April 23, 2024
DOL Releases Final Fiduciary Rule
April 22, 2024
FINRA Is Stepping Up Reg BI Actions, Enforcement Chief Says
April 22, 2024
IRS Slashes Life Insurer Yield Benchmark
April 22, 2024
DOL to Release Final Fiduciary Rule Tuesday: Report
April 18, 2024
Debate: Should Short-Term Health Policies Be Limited to 4 Months?
April 18, 2024
New SEC Risk Alert Points to 5 Marketing Rule Trouble Spots
April 17, 2024
Trump Pushed to Embrace 17% Income Tax for All
April 17, 2024
IRS Waives 2024 RMDs for IRA Beneficiaries Under 10-Year Rule
April 16, 2024
Critics Continue Fight Against Two Unpopular Social Security Provisions