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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Busting Retirement Income Myths With Michael Finke

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The Entrepreneurial Mindset With Reed Colley

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When Advice Matters the Most With Andrew Crowell

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Federal Regulation

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SEC Names New Investment Management Director
SEC Names New Investment Management Director
How to Avoid RMD Mistakes Around Roth Conversions
How to Avoid RMD Mistakes Around Roth Conversions
Ex-Schwab Financial Consultant Claims Age Discrimination
Ex-Schwab Financial Consultant Claims Age Discrimination
7 Tax Developments to Watch For
7 Tax Developments to Watch For

State Regulation

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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
RIA Growth Could Stall in 2025: Report
RIA Growth Could Stall in 2025: Report

Legislation

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The Biggest Changes in Senate Tax Bill
The Biggest Changes in Senate Tax Bill
What’s New in the Senate Version of Trump’s Tax and Spending Bill
What’s New in the Senate Version of Trump’s Tax and Spending Bill
Senate Deadlocked on SALT
Senate Deadlocked on SALT
Debate: Should the Tax Bill Expand HSAs?
Debate: Should the Tax Bill Expand HSAs?

Litigation

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Tech Integration Helps Orion Clients Claim Class-Action Payments
Tech Integration Helps Orion Clients Claim Class-Action Payments
Supreme Court Favors IRS Over Tax Court
Supreme Court Favors IRS Over Tax Court
Ex-Schwab Financial Consultant Claims Age Discrimination
Ex-Schwab Financial Consultant Claims Age Discrimination
Supreme Court Gives DOGE Access to Social Security Data
Supreme Court Gives DOGE Access to Social Security Data

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