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.
Trump Floated Jamie Dimon for Treasury Secretary, Then Denies It
By Gregory Korte | Nancy CookThe former president also denied that he was considering BlackRock CEO Larry Fink for the role.
July 22, 2024
Ed Slott: Final RMD Regs Create an 'Unnecessary Complication'"It's messy for beneficiaries and advisors to try and figure this out," Slott tells ThinkAdvisor.
July 22, 2024
Kitces: 5 Industry Trends Reshaping Financial AdviceThe advice business has reached a generational turning point, the popular blogger says.
July 22, 2024
FINRA Fines Firm for Reg BI FailuresJeffrey Matthews Group had inadequate written procedures and training for reps, FINRA said.
July 21, 2024
Biden Drops Out of 2024 Election, Endorses Kamala HarrisThe move follows weeks of pressure from Democrats for the 81-year-old to exit the race to improve their chances to defeat Trump.
July 19, 2024
What to Know Now About IRS' Final RMD Regs: Jeff LevineAdvisors have a lot of catching up to do in the weeks ahead, the CPA and "planning nerd" says.
July 19, 2024
New Final IRS Regs Affect Where Annuities Fit in RMDsThe regulations also affect how the Secure 2.0 income annuity provisions work.
July 19, 2024
SEC Launches Sweep of RIAs' T+1 ComplianceRIAs have received letters asking for details on procedures for trade affirmation and recordkeeping, K&L Gates attorneys say.