Regulation and compliance
Regulation and compliance
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For the first time in an annual compliance report, FINRA devotes a section to AI risks, including from third-party vendors and scammers.
December 9 -
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.
December 5 -
Nearly all the brokers who dropped their FINRA registration in the wake of tougher rules kept their insurance licenses, according to newly published research.
December 4 -
The initiative from the president's tax law has drawn support from corporate and financial leaders.
December 3 -
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.
December 2 -
The fund manager, convicted of fraud by a New York federal jury in August 2024 and sentence to seven years, spent less than two weeks in prison before being released.
December 2 -
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.
December 1 -
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.
November 25 -
In Notice 2025-69, the IRS and the Treasury offer clarifications and examples of how to claim the One Big Beautiful Bill Act deductions.
November 24 -
Wells Fargo had argued that FINRA arbitration was the correct forum for a complaint brough by an ex-employing alleging the firm had used false interviews to boost its diversity credentials. Now the whistleblower will have his day in court.
November 24 -
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.
November 18 -
The Internal Revenue Service increased the annual retirement plan contribution limits for 2026 thanks to cost-of-living adjustments for inflation.
November 13 -
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.
November 12 -
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.
November 12 -
The industry asked for and received a delay in the rule from the IRS in 2023. Now that it's going into effect, here are the key implications for sponsors and savers.
November 10 -
Bad things can happen when advisory firm employees experiment with shiny new AI applications. An innocent "test drive" could trigger data breaches and compliance snafus.
November 6 -
A credit scare last month could have been a momentary blip, but financial advisors have always known there are a lot of risks in private investments.
November 5 -
AI note-takers have become increasingly common among advisors. So has the use of wearable AI recording devices among the general population. What happens when the tables are turned?
November 5 -
The share of test takers who pass the CFP Board's exam has risen significantly in recent years, but experts are divided on what's behind the change.
November 5 -
Firms of all sizes have had to think through the compliance concerns and rank AI tasks in order of difficulty, ADVISE AI panelists said.
November 4



















