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.
Race for Private-Credit ETFs to Face SEC Scrutiny
By Lydia BeyoudA planned State Street-Apollo ETF will have to comply with a rule that caps illiquid investments in a fund's net assets at 15%.
October 31, 2024
BofA Says Regulators May Take Action Over Money Laundering, ZelleU.S. regulatory agencies have been digging into consumer complaints about how banks handle reported abuses of the Zelle network.
October 31, 2024
Kentucky Advisor Fined Over Bourbon-Tasting BusinessThe advisor didn't get written approval from Edward Jones but firm members attended a tasting, according to FINRA.
October 31, 2024
LPL Discloses $18M Charge, but No Arnold Updates on Q3 CallThe firm, now led by Rich Steinmeier, expects an SEC settlement related to anti-money laundering controls.
October 30, 2024
SEC Hit These 6 Firms With Reg BI Fines in 2024The SEC cracked down this year after industry complaints that FINRA was taking the lead.
October 30, 2024
Cetera Launches Regulatory Risk-O-MeterThe new resource is designed to help advisors measure and navigate developing regulatory risks.
October 29, 2024
15 States Where the Most Estate Taxes Were Paid in 2022More than 8,000 individuals filed estate tax returns, with gross estates totaling $259.6 billion, according to newly released data.
October 29, 2024
What the Election Could Mean for SEC, DOLChanges will be afoot at the regulatory agencies, especially if Trump wins the White House.