Regulation and Compliance News from Financial Planning

The latest projections indicate the main Social Security retirement fund will reach insolvency in less than six and a half years. For retirees and their advisors, that could mean a potential rethink of retirement plans.

In a recent industry snapshot, the Investment Adviser Association found the average number of data points advisors have to report in annual regulatory filings has nearly doubled to more than 1,000 since 2011.

A technicality in the federal law enacted in July 2025 changed how deductions work for estates and trusts, creating uncertainty over how taxes are allocated after a person's death.

New research from the TIAA Institute finds financial literacy slipping further, with investors across generations struggling to with risk comprehension.

The U.S. Department of Labor collected public comments on its proposal to give fiduciaries discretion to include alternative investments in 401(k) plans.

Schwab, Vanguard and Fidelity barred the DAFs they sponsor from making grants to the indicted nonprofit. The episode highlights why advisors should help clients choose fund sponsors carefully.

A presentation by Succession Resource Group shares the key pitfalls to avoid for RIAs seeking to create succession plans and recruit financial advisors.

A report from the Financial Stability Board said limited transparency in the private credit market makes it difficult for regulators to monitor and understand risks, potentially masking challenges to the financial system.

Even if they must refer wealth families to a tax professional for a generation-skipping or dynasty trust, financial advisors can play a valuable role.

Financial planners who joined the Transparent Advisor Movement's first "Flat Fridays" meetup touched on the difficulty of explaining the industry to consumers.

The Securities and Exchange Commission rescinded a policy Monday requiring defendants in settled enforcement actions not to publicly deny the SEC's allegations.

Oppenheimer said it had calculated its potential liability in its cash sweeps lawsuit at more than $440 million. Rather than face a jury, it's settling the class action lawsuit.

A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.

NASAA's proposal would align state laws with the SEC's marketing rule, eliminating concerns advisors have about running afoul of more local laws as they accept testimonials and reviews.

A lawyer representing a former UBS investor said he proved to FINRA arbitrators that his client would have been much better off simply putting her money into the stock market.

A new study from the Center for Retirement Research suggests there is a large gap in economic outlook between financial advisors and mass affluent investors.

Thirty advisors recruited by LPL Financial from Ameriprise had objected to a court order that they turn over their cell phones, computers and other devices to be searched by a third-party forensic examiner.

A GAO report suggests that blanket rules on spousal consent for 401(k) withdrawals could solve "financial infidelity problems — and exacerbate them.

The proposal is part of what SEC Chairman Paul Atkins calls his "Make IPOs Great Again" agenda.

With about 41 million American workers lacking access to a retirement plan through their jobs, experts say advisors could play a pivotal role.