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.
SEC Launches Sweep of RIAs' T+1 Compliance
By Melanie WaddellRIAs have received letters asking for details on procedures for trade affirmation and recordkeeping, K&L Gates attorneys say.
July 18, 2024
Ed Slott: Why a Lump Sum Beats an IRA Rollover for Some ClientsIt's a special case that's more common than ever, Slott tells Morningstar's Christine Benz.
July 17, 2024
FINRA Reminds BDs of Their Duties When Using AIA FINRA notice reminds BDs that its rules are intended to be technology-neutral.
July 16, 2024
Off-Channel Communications Now Advisors' Top Compliance ConcernTwo new compliance surveys named unapproved messaging channels as the topic of the moment.
July 16, 2024
Ex-Broker Charged With Bank Robbery Released on BondScott Tunis admitted to robbing a bank with a fake bomb after his 2022 arrest, records show.
July 16, 2024
New DOL Fiduciary Rule Defies Court Ruling, Insurance Groups ArgueLabor Department officials exaggerate how much authority ERISA gives them, the groups say.
July 15, 2024
SEC Bars Advisor for 20-Year, $24M Ponzi SchemePaul Horton Smith told clients they were investing in an annuity or real estate, the SEC said.
July 15, 2024
Election Presents a 'Behavioral Trap' for InvestorsThinkAdvisor spoke with Morningstar's Daniel Noonan about how advisors should counsel clients as the election nears.