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Regulation & Compliance

Get in-depth news and analysis on the fiduciary standard and SEC’s Reg BI, litigation impacting the financial services industry and the latest cybersecurity compliance standards.

Podcasts

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September 16, 2019

How to Avoid Client Complaints — and Lawsuits

June 27, 2019

A Timeline of the Contentious Fiduciary Rules

June 29, 2018

Legendary Ex-Fraudster Frank Abagnale Says Cybercrime Will Turn Deadly

September 24, 2019

Have Fiduciary Standards Been 'Watered Down'? SEC's Clayton, Jackson Go Toe to Toe

July 10, 2019

Is There Magic in the Term 'Fiduciary'?

June 4, 2019

DOL's New Fiduciary Rule Will Align With SEC Reg BI: Rutledge

May 7, 2019

Raymond James CEO Opposes State Fiduciary Standards

June 13, 2016

Tony Robbins Defends Fiduciary Standard, Role as Financial Educator at Creative Planning

September 13, 2019

Reconciling Rollover Advice With Reg BI and DOL Fiduciary Standard

July 3, 2019

SEC’s Reg BI Adds Unexpected Fiduciary Hurdle for Retirement Advisors

June 27, 2019

SEC Reg BI Involves 'Massive Implementation' Process: Peirce

June 11, 2019

The Good, Bad and Ugly of SEC's Reg BI and Advice-Standards Package

June 6, 2019

SEC's Clayton Explains 'Best Interest' vs. 'Fiduciary' Duty

October 11, 2019

States' Lawsuit Against SEC Reg BI Dismissed by Lower Court

September 19, 2019

As Cannabis Industry Matures, Expect a Lot More Litigation

September 11, 2019

XY Planning Network Sues SEC Over Reg BI

September 6, 2019

Should SEC Resurrect Broad Punishments for Companies That Talk to Analysts?

June 27, 2019

Industry Digs In as Reg BI, Advice-Standards Package Arrives

February 23, 2021

IRS Gives Tax Filing Relief to Texans Hit by Winter Storms

February 22, 2021

Biden Temporarily Limits PPP Loans to Smallest Businesses

February 19, 2021

Ex-Merrill Rep Barred for Keeping $100 Found at ATM: FINRA

February 19, 2021

Lawmakers Scrutinize Social Media's Role in GameStop Squeeze

February 18, 2021

Robinhood CEO Testifies: 'We Don't Answer to Hedge Funds'

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