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.
Edward Jones, Cambridge and Osaic to Pay Clients $8.2M Over Excess Fees
By Melanie WaddellThe firms failed to give clients mutual fund sales charge waivers and fee rebates, FINRA says.
December 20, 2024
The CMS 2026 Proposed Rule Could Shake Your WorldIf you help clients with Medicare plans, life could soon become more complicated.
December 19, 2024
Schwab Seeks to Block Former Advisor From Soliciting ClientsThe firm wants to block its former advisor, Robert Van Ortega, from soliciting clients for his new RIA.
December 18, 2024
IRS Pushes Back Deadlines in Proposed RMD RegsThe move may affect some future Secure 2.0-related changes involving individual retirement annuities and other arrangements.
December 18, 2024
FINRA Awards $4.8M to Baird in Raymond James Poaching DisputeThe payments represent only a fraction of the $74 million in damages sought by the wealth management firm.
December 16, 2024
A Top DOL Official Lays Out Her Year-End PrioritiesThe department is on the cusp of launching a key retirement tool, EBSA head Lisa Gomez tells ThinkAdvisor.
December 13, 2024
Cantor Fitzgerald Pays SEC $6.75M for Alleged SPAC AbusesThe firm, led by Howard Lutnick, misled investors in two blank-check firms, the regulator says.
December 13, 2024
Senators Delay Crenshaw Vote, Increasing Odds of All-GOP SECThe commissioner dissented to spot bitcoin ETF approval and supports stricter climate-related disclosure rules.