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.
What the FTC's New Non-Compete Ban Means for Advisor Recruiting
By John ManganaroThe real reason unhappy advisors stay put has nothing to do with legal agreements, recruiter Jason Diamond says.
May 15, 2024
Lawmakers Move to Torpedo New DOL Fiduciary RuleMembers of the House and Senate have introduced resolutions to overturn the rule.
May 15, 2024
Social Security COLA Estimate for 2025 Climbs Again to 3.2%Prices rose 3.4% from 12 months ago, new CPI data shows.
May 14, 2024
FINRA Fines, Suspends Rep Over WhatsApp MessagesOne client he communicated with was his former brother-in-law, who complained of investing losses, FINRA said.
May 14, 2024
How to Avoid 5 Mistakes With Client TestimonialsIt's important to establish a publishing process with appropriate guidelines and disclosures in place.
May 13, 2024
Will Courts Crush DOL's New Fiduciary Rule Soon? Don't Count on It.For now, the only safe course of action is to comply by Sept. 23, lawyer Fred Reish says.
May 13, 2024
The Fiduciary Institute's 2024 Training Course Open for RegistrationSpace is limited; instructors include Harold Evensky and Rick Kahler.
May 13, 2024
SEC, Treasury Crime Unit Float Customer ID Rule for AdvisorsThe proposed rule is intended to fight money laundering and the financing of terrorism, said SEC Chairman Gary Gensler.