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.
Debate: With Direct File, Is the IRS Inviting Conflict of Interest?
By William H. Byrnes | Robert BloinkThe pilot program offers eligible taxpayers in 12 states a cost-free way to submit their federal returns.
March 27, 2024
Life Insurers to Meet With White House Office on DOL Fiduciary RuleThe industry trade association last met with the federal analysts in October.
March 27, 2024
SEC Updates Rules for Robo-AdvisorsThe changes better reflect the digital marketplace in 2024, said Gary Gensler, the agency's chairman.
March 26, 2024
Stifel to Pay $2.3M Over Sales of Complex ETFsThe reps' 'misuse' of the nontraditional funds caused clients to lose $1.3 million, FINRA says.
March 26, 2024
Marcia Mantell Takes to NPR to Fight Social Security ConfusionRecord numbers of people are turning 65 each day, and there's a lot they need to know, she says.
March 25, 2024
The SEC Marketing Rule Sweep Has BegunAre you being too aggressive with your marketing efforts? Be careful.
March 25, 2024
Morgan Stanley to Pay $3M in FINRA Arbitration Over Deferred CompAmounts of deferred compensation to be paid to former advisors range from about $70,000 to more than $600,000.
March 22, 2024
House Panel Passes Bill to Quash DOL Independent Contractor RuleSupporting lawmakers say the rules are arbitrary and capricious under federal law.