Federal Regulation
Get the latest news and insights on regulatory developments affecting financial advisors and the stock market and trading, including news about the SEC, DOL, IRS and the Financial Industry Regulatory Authority.
Ed Slott: Big Moves Clients Should Not Make Before Year-End
By Melanie WaddellAmong Slott's suggestions: Stop telling clients to beef up their 401(k)s and IRAs.
December 03, 2024
Western Asset Management Names New CEO After SEC ProbeThe news comes after former co-CIO Ken Leech was charged with fraud.
December 02, 2024
FINRA Explains How to Amend Form U4 Under Home Office RuleA response to the Residential Supervisory Location question is required.
December 02, 2024
SEC Panel to Debate RIAs' Use of Mandatory Arb, Dangers of 'Finfluencers'The Investor Advisory Committee plans to discuss protecting young investors from bad financial advice on social media.
November 27, 2024
Are Small-Business Clients Ready for This Looming Deadline?Treasury's BOI reporting deadline is coming up, and penalties for violation are steep.
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.
November 27, 2024
More Than 60 Brokers Hit With FINRA Sanctions Over CE CheatingAnother individual completed the required training on the brokers' behalf, FINRA says.
November 27, 2024
Court Strikes Down SEC Dealer Rule: SEC RoundupThe rule expanded the definition of "dealer" so that many private fund advisors would have had to register.