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.
Morgan Stanley Dealt Blow in Deferred Comp Clawback Lawsuit
By John ManganaroThe new ruling could spur hundreds more advisors to file claims against the wirehouse, the plaintiffs' lawyer says.
November 06, 2024
Trump Has Proposed Nearly $8 Trillion in Tax Cuts. What Happens Now?Trump will now have to offer details of all the cuts he floated in recent months, says Greg Valliere.
November 06, 2024
Ahead of Key Tax Fight, Republicans Win Senate ControlRepublicans have said they intend to extend Trump's 2017 tax breaks and roll back regulations on energy production.
November 05, 2024
Morgan Stanley to Pay $1M Over Lack of Risk ControlsThe firm failed to set up controls designed to prevent the entry of erroneous orders, FINRA says.
November 05, 2024
Ex-Merrill Wealth Chief Launches RIAThe new firm, Indivisible Partners, will launch in the first quarter, John Thiel says.
November 04, 2024
American College Opens Enrollment for New Tax CertificationThousands of advisors on the waiting list are able to sign up for the three-course program, says professor Jeff Levine.
November 04, 2024
Robo-Advisor's Pro Athlete Ads Broke Marketing Rule, SEC SaysAds featuring a pro soccer player and MMA fighters who were not clients lacked disclosures, the SEC says.
November 04, 2024
5 Steps to Prepare for Post-Election Tax ChangesAdvisors taking a proactive stance can help clients in working toward protecting their wealth amid political uncertainty.