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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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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Inside Cetera’s New Service Model: A Conversation with President Todd Mackay

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Podcasts

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Succession Planning Success with Debbie Taylor

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Understanding the Retirement Revolution

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It’s Time to Talk Taxes With Sophia Duffy

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Federal Regulation

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BD Fined $100,000 for Failing to Review Reps' Instant Messages
BD Fined $100,000 for Failing to Review Reps' Instant Messages
No Final Decision on DOL Fiduciary Rule — Yet
No Final Decision on DOL Fiduciary Rule — Yet
Ed Slott: Roth Conversions Are Trickier Under New Tax Law
Ed Slott: Roth Conversions Are Trickier Under New Tax Law
Stifel Advisor Linked to $132M Arb Award Has Left the Firm
Stifel Advisor Linked to $132M Arb Award Has Left the Firm

State Regulation

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Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami Dolphin
Ex-Merrill Advisor Accused of Stealing Nearly $2.6M From Retired Miami Dolphin
Widow Sues Fidelity Over Husband's Account in Beneficiary Designation Case
Widow Sues Fidelity Over Husband's Account in Beneficiary Designation Case
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

Legislation

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Ed Slott: Roth Conversions Are Trickier Under New Tax Law
Ed Slott: Roth Conversions Are Trickier Under New Tax Law
Learn All You Need to Know About the New Tax Law
Learn All You Need to Know About the New Tax Law
Debate: Is Permanent 100% Bonus Depreciation in Trump Tax Law a Good Thing?
Debate: Is Permanent 100% Bonus Depreciation in Trump Tax Law a Good Thing?
How Trump’s Tax and Spending Bill Affects Clients, Small Businesses
How Trump’s Tax and Spending Bill Affects Clients, Small Businesses

Litigation

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No Final Decision on DOL Fiduciary Rule — Yet
No Final Decision on DOL Fiduciary Rule — Yet
Vanguard Accused of Misrepresentation in JustInvest Deal
Vanguard Accused of Misrepresentation in JustInvest Deal
Stifel Advisor Linked to $132M Arb Award Has Left the Firm
Stifel Advisor Linked to $132M Arb Award Has Left the Firm
Morgan Stanley, Goldman and Wells Fargo to Settle $120M Lawsuit
Morgan Stanley, Goldman and Wells Fargo to Settle $120M Lawsuit

Cybersecurity

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Criminals Are Creating Fake Medicare.gov Accounts: CMS
Criminals Are Creating Fake Medicare.gov Accounts: CMS
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