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

News

SEC to Review Trade Data Collection

By Melanie Waddell
News

New Bill Would Require SEC to Update 'Small Entity' Definition

Best Practices

When AI Is Taking Notes, Beware of These 6 Types of Hallucinations

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Webcasts

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Culture Impacts Service! The United Planners Difference

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Planning With Purpose: Trends in Guiding Clients for Values-Based Giving

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How Top RIAs Use Peer Data to Guide Portfolio Strategy

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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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Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
Accredited Investor Standard Should Be Eliminated: SEC's Peirce
Accredited Investor Standard Should Be Eliminated: SEC's Peirce
5 Years In, Reg BI Is Still Unclear to BDs
5 Years In, Reg BI Is Still Unclear to BDs
Advisors Must Prepare for Where Crypto Is Headed
Advisors Must Prepare for Where Crypto Is Headed

State Regulation

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Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss
Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss
Vanguard Shared Client Trades With Google and LinkedIn: Lawsuit
Vanguard Shared Client Trades With Google and LinkedIn: Lawsuit
California Court OKs $80M Life Insurance Policy Lapse Notice Settlement
California Court OKs $80M Life Insurance Policy Lapse Notice Settlement

Legislation

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Johnson Says Agreement Reached on Raising SALT Cap to $40,000
Johnson Says Agreement Reached on Raising SALT Cap to $40,000
Senate Passes No Tax on Tips Act
Senate Passes No Tax on Tips Act
Trump Loses Patience With SALT Demands as Tax Bill Faces Snag
Trump Loses Patience With SALT Demands as Tax Bill Faces Snag
Trump Pushes SALT Republicans to Abandon Further Cap Hike
Trump Pushes SALT Republicans to Abandon Further Cap Hike

Litigation

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Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
Judge Rejects $40M Class-Action Settlement in Vanguard Target-Date Selloff Case
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach Notices
LPL Drops Suit Over Ameriprise's 'Defamatory' Data Breach Notices
Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss
Retiree Sues Schwab, Hightower Over $422,000 Portfolio Loss
Vanguard Shared Client Trades With Google and LinkedIn: Lawsuit
Vanguard Shared Client Trades With Google and LinkedIn: Lawsuit

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