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.
Why Invest in Private Markets?
By Scott McClatcheyIt's possible to ride along with top-quartile funds found in multibillion-dollar institutional portfolios.
April 29, 2024
TD Ameritrade Hit With $600K FINRA Fine Over Options Trading ApprovalsThe brokerage's automated system for approving customers for options trading failed to detect red flags.
April 29, 2024
Medigap Policies Face New Federal Nondiscrimination RuleThe new final rule also creates a health insurance agency coordinator requirement.
April 29, 2024
Stifel CEO Says Final DOL Rule Is 'Less Restrictive' Than He FearedBut Ronald Kruszewski and Principal CEO Dan Houston still have concerns.
April 26, 2024
DOL Gets an 'F' on Addressing Fiduciary Rule ConcernsOne would have thought that Labor would at least have made changes reflecting the views of congressional Democrats.
April 25, 2024
Don't Let RMD Relief Blind IRA Beneficiaries to the Big PictureThose who don't take distributions now could face bigger RMDs at higher tax rates later.
April 25, 2024
DOL Fiduciary Rule Add-On Could Boost Annuity Distributors' CloutOfficials want them to help agents and brokers provide conflict-free advice.
April 25, 2024
Industry Players Weigh In on the DOL's New Fiduciary DefinitionAnnuity distribution veterans, regulation backers and harsh critics look at what comes next.