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Regulatory & Compliance

Policies and legislation impacting financial services and wealth management — and how to comply.

Regulatory & Compliance | 11.06.26

DOL Submits Final Rule on Alternatives in 401(k)s to White House for Review

by Courtney Degen

Regulatory & Compliance | 11.05.26

LPL Advisor Wins House Seat

by Melanie Waddell

Regulatory & Compliance | 11.05.26

‘Small’ RIAs Get Larger Under SEC Amendments

by Edward Rueda

Regulatory & Compliance | 10.29.26

FINRA Recordkeeping Rule for Outside RIA Activity To Take Effect Next Fall

by Alec Rich

Regulatory & Compliance | 10.23.26

SEC Targets Private Markets, AI and Fiduciary Risks Among 2027 Exam Priorities

by Brian Anderson

Regulatory & Compliance | 10.16.26

Brokers May Tout Performance Projections, Same as RIAs, SEC Says

by Miriam Rozen

Regulatory & Compliance | 10.15.26

FINRA Cuts Waiting Periods for Retaking Broker Qualification Exams

by Advisor Hub Staff

Regulatory & Compliance | 10.06.26

Supreme Court Sounds Skeptical of Challenge to Private Equity in 401(k)s

by Chris Cumming

Regulatory & Compliance | 10.06.26

New Bill Would Require 'Best Interest' Retirement Advice

by Allison Bell

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