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.
Jason Fichtner Among New Members Named to FINRA Foundation Board
By John ManganaroThe nonprofit FINRA Investor Education Foundation is welcoming three industry veterans, including the former Social Security official.
February 12, 2024
Surprise! It Doesn't Always Pay to Delay Social Security Till 70Recently, we ran the numbers on a spousal-benefits scenario. The results surprised some readers.
February 12, 2024
Bharara Once Jailed Wall Street Pros. Now He Helps Them Avoid PrisonWhen firms see enforcement actions, they should move to ensure they're "not going to be in the same position," he says.
February 09, 2024
These Controversial SEC Rules Are Likely to Get Passed This YearThe regulator adopted 24 rules in 2023 and is pressing on at a pace that's causing concern.
February 09, 2024
FINRA Fines Current, Former LPL Advisors Over False SignaturesThe advisors both agreed to a fine and suspension.
February 09, 2024
New FINRA Arbitrator Selection Rules Start March 4The changes are intended to make the arbitrator selection process more transparent.
February 09, 2024
SEC Hits 16 Firms With $81M in Texting FinesThe firms agreed to pay the SEC combined civil penalties of more than $81 million.
February 08, 2024
How to Opt Out of Inheriting an IRABeneficiaries seeking to avoid gift and income tax consequences can execute a "qualified disclaimer" to decline the inheritance.