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

Regulation and Compliance

Merrill to Settle Overtime Suit for $4.9M

By John Manganaro
Portfolio

Vanguard Signs Updated 'Passivity Agreement' to Limit Its Influence on Banks

Portfolio

Bank Workers Are Leaking Data on Client Accounts as Scams Surge

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Webcasts

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The Future of HNW Success: 2025 Investment and Planning Trends

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Trump's Market Impact: Navigating Opportunities in AI, Crypto and ETFs

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The Path to Independence: Navigating the Four Key Dimensions for RIAs

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Podcasts

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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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A New Framework for Fee-Based Annuities with David Lau

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Federal Regulation

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Whipsaw BOI Rulings Leave Business Owners Dizzy
Whipsaw BOI Rulings Leave Business Owners Dizzy
JP Morgan Loses $39.7M Arbitration Against Barred Broker
JP Morgan Loses $39.7M Arbitration Against Barred Broker
Trump Taps Keis, Schwab for Key Treasury Roles
Trump Taps Keis, Schwab for Key Treasury Roles
RIA to Pay $115K Fine Over Custody Rule Violations
RIA to Pay $115K Fine Over Custody Rule Violations

State Regulation

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New York State Bill Could Double Annuity Income Tax Exemption for Older Residents
New York State Bill Could Double Annuity Income Tax Exemption for Older Residents
Washington State’s Wealth Tax Debate Is Heating Up
Washington State’s Wealth Tax Debate Is Heating Up
San Antonio Advisor and Radio Host Charged With Obstructing FBI Probe
San Antonio Advisor and Radio Host Charged With Obstructing FBI Probe
Former Agent Charged With $900K Long-Term Care Insurance Fraud in California
Former Agent Charged With $900K Long-Term Care Insurance Fraud in California

Legislation

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Debate: Is the Social Security Fairness Act Fair?
Debate: Is the Social Security Fairness Act Fair?
New York State Bill Could Double Annuity Income Tax Exemption for Older Residents
New York State Bill Could Double Annuity Income Tax Exemption for Older Residents
Social Security Has Faced Peril Before. What Can We Learn?
Social Security Has Faced Peril Before. What Can We Learn?
Biden Likely to Sign Social Security Fairness Act on Jan. 6
Biden Likely to Sign Social Security Fairness Act on Jan. 6

Litigation

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Whipsaw BOI Rulings Leave Business Owners Dizzy
Whipsaw BOI Rulings Leave Business Owners Dizzy
Schwab, RIA Let Client's Family Drain Retirement Portfolio, Lawsuit Alleges
Schwab, RIA Let Client's Family Drain Retirement Portfolio, Lawsuit Alleges
Estate Planners Look for Way Out of Connelly Chains
Estate Planners Look for Way Out of Connelly Chains
Schwab Seeks to Block Former Advisor From Soliciting Clients
Schwab Seeks to Block Former Advisor From Soliciting Clients

Cybersecurity

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How Advisors Can Protect Clients From Instant Payment Fraud
How Advisors Can Protect Clients From Instant Payment Fraud
Lawsuit: Schwab, BofA Failed to Protect Older Couple Scammed Out of $18.5M
Lawsuit: Schwab, BofA Failed to Protect Older Couple Scammed Out of $18.5M
Globe Life Reports Extortion Threat Involving Customer Data
Globe Life Reports Extortion Threat Involving Customer Data
Banks Brace for Era of Consumer Data Sharing
Banks Brace for Era of Consumer Data Sharing