Regulation and Compliance News from Financial Planning

A new report from Cerulli notes big differentiating factors for firms that specialize in working with clients with $20 million or more to invest.

For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.

Henry Robert Gleckler IV's dispute with JPMorgan over his alleged solicitation of his former clients now heads for a resolution before a FINRA arbitration panel.

Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.

JPMorgan again shows it makes a sharp distinction between advisors who build their own books of business and those who amass clientele from bank referrals.

A tweak to the deductibility of gambling losses may not bring in a lot of tax revenue, but it could certainly alter a lot of wagers next year.

After the newly crypto-friendly Donald Trump won reelection, bitcoin jumped over $100,000. Many advisors and even more clients remain skeptical, though.

The latest SEC Enforcement Activity report finds that the watchdog agency has only started four regulatory cases against public companies under the current presidential administration.

In Notice 2025-69, the IRS and the Treasury offer clarifications and examples of how to claim the One Big Beautiful Bill Act deductions.

Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.

A similar measure stalled years ago, but some advisors say the current bill has more momentum among lawmakers.

The Internal Revenue Service increased the annual retirement plan contribution limits for 2026 thanks to cost-of-living adjustments for inflation.

The Financial Services Institute is pressing the Securities and Exchange Commission to adopt formal procedures to prevent what it deems the sometimes capricious enforcement of industry rules.

The higher standard deduction since 2017 has dramatically reduced itemization. But the new law provides incentive for teachers to consider whether that's feasible.

Political instability and other pressures are feeding some clients' portfolio fears, advisors say in this month's Financial Advisor Confidence Outlook.

Scary good voice cloning technology means advisors can no longer believe what — or more accurately, who — they're hearing on the phone. Rigorous verification protocols are the new key to gaining client trust.

Americans tend to be overly pessimistic about their own life expectancy — a fact with major implications for retirement planning. But new research shows that certain interventions can help.