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Regulation and Compliance

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.

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SEC

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New SEC Risk Alert Points to 5 Marketing Rule Trouble Spots
Advisor on FBI's 'Most Wanted' List Arrested on Fraud Charges
SEC Hits 5 RIAs With Marketing Rule Fines
Ex-Ameriprise Advisor Awaits Sentencing in $1.2M Fraud Case

DOL

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DOL Fiduciary Rule Add-On Could Boost Annuity Distributors' Clout
Industry Players Weigh In on the DOL's New Fiduciary Definition
Finseca CEO Pans New DOL Fiduciary Regs, Sketches Litigation Path
Fiduciary Rule Regs May Cut $5,000 in Annual Fees per Annuity Pro: DOL

IRS

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Don't Let RMD Relief Blind IRA Beneficiaries to the Big Picture
Ultra-Rich Should Pay to Save Social Security: Poll
10 States With the Most Income Tax Writeoffs
IRS Slashes Life Insurer Yield Benchmark

FINRA

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FINRA Is Stepping Up Reg BI Actions, Enforcement Chief Says
Advisor on FBI's 'Most Wanted' List Arrested on Fraud Charges
Fiduciary Rule Meetings Disappointed Agent Groups
FINRA Suspends Ex-Rep Over Reg BI Violations

More from Federal Regulation
April 25, 2024
Chamber of Commerce Sues to Block FTC's Non-Compete Ban
April 23, 2024
FTC Bans Worker Non-Compete Rules
April 23, 2024
DOL Changes Fiduciary Rule Advice Definition Scope
April 23, 2024
The 2024 DOL Fiduciary Rule: A Timeline
April 23, 2024
DOL Releases Final Fiduciary Rule
April 22, 2024
DOL to Release Final Fiduciary Rule Tuesday: Report
April 18, 2024
Debate: Should Short-Term Health Policies Be Limited to 4 Months?
April 18, 2024
House Panel OKs Bill to Limit Data Collection From Insurers
April 17, 2024
Supreme Court Case Could Upend a Key Succession Strategy
April 17, 2024
IRS Waives 2024 RMDs for IRA Beneficiaries Under 10-Year Rule