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.
DOL Fiduciary Shift Could Apply During Long Litigation Battle
By Allison BellAnnuity issuers and producers must prepare to comply, even if just temporarily, lawyers warn.
March 18, 2024
FINRA Levies First Enforcement Action in Finfluencers SweepM1 Finance will pay $850,000 over deceptive social media posts by influencers, FINRA says.
March 18, 2024
SEC's Texting Crackdown Rages On, With RIAs Likely NextStand-alone penalties against investment advisory firms are coming, two former SEC attorneys say.
March 18, 2024
SEC Fines Two Firms for Bogus AI ClaimsThe firms made false and misleading statements about using AI, the SEC says.
March 15, 2024
Advisor Accuses LPL of 'Raiding' His Firm in RetaliationThe wealth manager alleges that LPL retaliated after he started looking for another broker-dealer.
March 15, 2024
FINRA Fines Osaic Wealth, Securities America Over Cyber BreachesThe breaches compromised the personal data of more than 32,000 clients, FINRA says.
March 14, 2024
Social Security Claiming: The Case of the Public PensionPension income can complicate the planning picture, especially if the employer didn't pay into Social Security.