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.
SEC Updates FAQ on Form CRS
By Melanie WaddellThe agency answers questions related to private placements, principal underwriters and dually registered BDs.
December 14, 2023
Why the Annuity Industry Needs a Fiduciary StandardEliminating the systemic problems caused by commissions will unlock vast new pools of assets and attract new users.
December 13, 2023
Ex-Wells Fargo Advisor Defrauded Health Plans, Jury FindsThe financial professional and a pharmacist secured $4 million in extra benefits payments, the U.S. attorney argued.
December 13, 2023
Fed Pivots to Rate Cuts as Inflation Heads Toward 2% GoalChair Jerome Powell indicated policymakers are now turning their focus to when to cut rates as inflation cools.
December 13, 2023
Would New DOL Fiduciary Rule Curtail Advice Access? No Way, Consumer Groups TestifyAt a DOL hearing, the Consumer Federation of America called this industry argument "a scare tactic."
December 13, 2023
10 Overlooked Tax Credits and Deductions for 2023These ways to (legally) reduce clients' tax burdens are well worth year-end discussions.
December 12, 2023
BD, Insurer Groups Blast Fiduciary Plan at DOL HearingLabor's rule "is overly broad, unnecessary, and inconsistent with existing federal regulations," says a SIFMA lawyer.
December 12, 2023
House Votes 320-71 for Health Transparency BillRep. Cathy McMorris Rodgers' committee has just approved a package of other health bills.