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.
FINRA Fines, Suspends Rep for Sharing CFP Board Exam Content
By Melanie WaddellAfter passing the CFP Board exam, the rep disclosed exam content to others, FINRA says.
July 02, 2024
New SEC RILA Rules Accentuate the Negative, Commissioner SaysRegistering new products will get easier, but the required notices could scare off investors, Hester Peirce warns.
July 02, 2024
Why Bitcoin Hasn't Hit $100K Yet, and Why That Doesn't Spell DoomYes, there is a big short position out there, but it's because hedge fund managers are very smart people.
July 01, 2024
SEC to Let Insurers Register RILAs on a Simpler FormThe shift also affects market-value-adjusted annuities but not annuity spigots plugged into ordinary portfiolios.
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.