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.
FINRA Sees Spike in 'Investment Group' Frauds on Social Media
By Melanie WaddellBad actors are posing as RIAs online and pitching investments though encrypted group chats, the organization warns.
January 12, 2024
Why New DOL Fiduciary Rule Is Not a 'Rehash' of 2016Former EBSA head Phyllis Borzi explains how Labor's new rule differs and where it may end up.
January 12, 2024
Morgan Stanley to Pay $249M to End Block Trade ProbesAs part of the agreement, Morgan Stanley will pay about $113 million to the SEC, the regulator said Friday.
January 11, 2024
Avoid This Mistake When Funding a Backdoor RothRunning afoul of the pro rata rule can negate much of the tax benefit.
January 11, 2024
7 Threats Life and Annuity Commenters See Lurking in DOL Fiduciary Rule DraftOne is a provision that could shut some insurers out of the rollover market for 10 years.
January 11, 2024
Advisors Battle Morgan Stanley Over Deferred Comp 'Clawback'About a dozen former advisors say the firm improperly withheld deferred compensation in violation of ERISA.
January 11, 2024
Morgan Stanley Could Pay Up to $300M to Settle Trading ProbeThe yearslong investigation has focused on its employees' handling of stock sales big enough to move markets.
January 11, 2024
Life Insurance Execs to Lead 2 Fed Regional BanksThe executives could talk about what very low interest rates do to retirement savers.