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

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Webcasts

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How Leading Firms Are Deploying AI Without Compliance Risk

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Customization at Scale: Using Direct Indexing to Maximize Tax Benefits and Client Value

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The Empathy Advantage: How Behavioral Finance is Reshaping Planning Conversations

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Podcasts

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It’s Time to Talk Taxes With Sophia Duffy

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Busting Retirement Income Myths With Michael Finke

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The Entrepreneurial Mindset With Reed Colley

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Federal Regulation

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9 Key Tax Considerations for Newlyweds
9 Key Tax Considerations for Newlyweds
SEC Denies Requests to Alter More Texting Settlements
SEC Denies Requests to Alter More Texting Settlements
Debate: Should the Tax Bill Increase the Business Income Deduction?
Debate: Should the Tax Bill Increase the Business Income Deduction?
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors

State Regulation

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Trial Underway for Ex-Banker Charged With Murdering BofA Exec
Trial Underway for Ex-Banker Charged With Murdering BofA Exec
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive Commissions
LPL, Edward Jones Among 5 Firms Ordered to Pay $29M Over Excessive Commissions
Kellyanne Conway Talks Trump Tariffs
Kellyanne Conway Talks Trump Tariffs
BlackRock Escapes Texas Oil-Boycott Blacklist After ESG Retreat
BlackRock Escapes Texas Oil-Boycott Blacklist After ESG Retreat

Legislation

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July 4 Tax Bill Deadline Isn’t the ‘End All’ Date: Trump
July 4 Tax Bill Deadline Isn’t the ‘End All’ Date: Trump
9 Retirement Bills in Congress Now
9 Retirement Bills in Congress Now
Bessent Predicts Republicans Reach SALT Truce Within 48 Hours
Bessent Predicts Republicans Reach SALT Truce Within 48 Hours
Trump Amps Up Pressure on GOP Holdouts on His Massive Tax Bill
Trump Amps Up Pressure on GOP Holdouts on His Massive Tax Bill

Litigation

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Trial Underway for Ex-Banker Charged With Murdering BofA Exec
Trial Underway for Ex-Banker Charged With Murdering BofA Exec
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors
Wisconsin 'Advisor' Bought 300 Snowmobiles With Client Money: Prosecutors
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt
Ex-Advisor Gets 8 Years for Bilking Clients, Widowed Aunt
Appeals Court Sides With Beneficiary in Guardian Life Suit
Appeals Court Sides With Beneficiary in Guardian Life Suit

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