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Regulatory & Compliance

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

Regulatory & Compliance | 10.16.26

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

by Miriam Rozen

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

Regulatory & Compliance | 10.01.26

Fidelity To Drop RIAs Below $100M Custody Minimum

by Brian Anderson

Regulatory & Compliance | 10.01.26

SEC Proposes Rules on Investment Advisor Crypto Asset Custody

by Douglas Gillison

Regulatory & Compliance | 09.30.26

SEC Unveils New Retail Investor Proposals for Private Assets

by Douglas Gillison; Suzanne McGee

Regulatory & Compliance | 09.29.26

Treasury Will Auto-Enroll 60 Million Children in Trump Accounts

by Richard Rubin; Ashlea Ebeling

Regulatory & Compliance | 09.25.26

SEC Commissioner Peirce To Leave Agency

by Maria Volkova

Regulatory & Compliance | 09.21.26

Trade Groups Tout SEC E-Delivery Rule as Cost-Saving

by Emily Boyle

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