Regulation and Compliance News from Financial Planning

Dividend strategies can provide steady returns over time with less volatility, but growth-oriented stocks can also be an attractive option.

The popular online broker-dealer has caught regulators' eyes over its moves into market news, trading in sports games and other events, and a new premium credit card.

The tactics of the criminals who utilize AI are changing fast. However, there are also practical steps advisors can take.

Berdina Moore-Bonds alleges that when Morgan Stanley embarked on a reorganization of its regional divisions in 2023, she and another Black woman were the only field leaders to lose their jobs.

The surging popularity of the alternative asset class could curtail its seemingly endless runway.

In a legal response, LPL contends it has been sued at least seven times in the past year after recruiting advisors from industry rival Ameriprise.

The pace of natural disasters seems to be accelerating, prompting taxpayers and preparers to search for ways to deduct catastrophic losses.

Critics including President Trump are ramping up the pressure on large corporations to drop their programs. But others doubted the firms' sincerity all along.

The hearing last month explored the legal process for enforcing the fiduciary duty of retirement plans to avoid excessive recordkeeping fees.

Former UBS employee Cody Rice acknowledges that his politics and personal traits made him an outlier in the ESG world. But that, he says in a lawsuit, was no excuse for the treatment he received.

Mark Sam Kolta was at National Securities for nearly four years before its sale to B. Riley. While there, he managed to rack up more than two dozen customer complaints that were eventually settled for millions.

Apex Clearing, a subsidiary of Apex Fintech Solutions, stood accused of misleading investors into believing they would receive compensation for lending out their brokerage holdings.

For financial advisors, the hardest part of soliciting and posting SEC-compliant reviews can be overcoming reluctance on the compliance end.

Advisors say they are watching these changes closely, making portfolio adjustments where needed and generally reassuring nervous clients that they have planned for this sort of volatility.

JPMorgan, along with Charles Schwab and a New York-based RIA, stand accused of not doing enough to prevent the son of an 84-year-old widow from stealing his mother's life savings.

At least one rule enshrined by President Biden's administration appears safe under President Trump's team. Here's how a 2019 law changed taxpayer disputes.

Whether these are watershed moments or not, markets have taken notice of the latest artificial intelligence advancements.

Millions more taxpayers will be receiving the Form 1099-K in the mail this year for the first time if they were paid $5,000 or more last year.

Rodney Halvorson says he agreed to join Morgan Stanley only if he could take two wealthy Mexican clients with him. But his transfers were blocked amid heightened money-laundering scrutiny.

With Gary Gensler's "Wild West" in the rearview mirror, a less combative approach to cryptocurrency looks likely to boost product innovation and investor adoption.