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.
Supreme Court Ruling Ensures Juries in Many SEC Cases: SEC Roundup
By Nick Morgan and Tom ZaccaroWith the Jarkesy opinion, the agency may no longer pursue such claims through in-house enforcement proceedings.
July 02, 2024
RBC to Pay $75K for Excessive Sales ChargesRBC failed to provide mutual fund sales charge waivers and fee rebates, FINRA said.
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.