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.
New SEC RILA Rules Accentuate the Negative, Commissioner Says
By Allison BellRegistering new products will get easier, but the required notices could scare off investors, Hester Peirce warns.
July 01, 2024
Ex-Billionaire Gets 7 1/2-Year Sentence for Defrauding Investors Goldman, GoogleRishi Shah, who sold ads on TVs in doctors' offices, was convicted of over a dozen fraud and money laundering charges last year.
July 01, 2024
More Secure 2.0 Act Provisions Are ComingSome incoming changes are likely to help clients more easily make the transition from work to retirement.
July 01, 2024
New IRS Rules Require BDs to Report Sales, Exchanges of Digital Assets"Great news all around!" Ric Edelman says of the new requirements.
June 29, 2024
SIFMA, FSI Join Suit to Strike Down DOL Fiduciary RuleThe trade groups join insurance industry groups in asking a court in Texas to vacate the rule.
June 28, 2024
Supreme Court Ruling Set to Weaken SEC, DOL AuthorityAttorneys and lawmakers weighed in Friday on the court's decision to overturn the Chevron doctrine.
June 28, 2024
5 Ways a New Supreme Court Ruling Could Shape Life, Health and Advice RegsThe SEC, Labor Department and others have used the Chevron ruling, now overturned, to establish their authority.
June 28, 2024
FINRA Goes Quiet as Its Caseload PlungesTotal fines are down by half since 2016, raising the question: Will the watchdog catch the industry's next big fraud?