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's Gomez Lays Out Fiduciary Rule's Chief Goals
By Melanie WaddellDOL's two-day public hearing on its new fiduciary plan kicked off Tuesday, with more than 40 groups set to testify.
December 11, 2023
DOL Fiduciary Rule Hearing Starts TuesdayMore than 40 groups have requested to testify during the two-day online hearing.
December 08, 2023
Debate: Should Social Responsibility Be Factored Into Retirement Planning?Opinions differ on considering ESG factors when selecting retirement plan investments.
December 08, 2023
FINRA Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.Alpine and three other firms are challenging FINRA's power in court; the Supreme Court may rule on the matter next year.
December 08, 2023
Hunter Biden Indicted in Tax Case as White House Woes MountPresident Joe Biden's son faces as many as 17 years in prison if convicted of all the charges.
December 07, 2023
SEC Investor Advocate: RILAs Are Hard for Consumers to Understand"We rarely have examined a more complex retail investment product," Cristina Begoña Martin said.
December 07, 2023
Quiz: Do You Know the RMD Rules for 2023?The Secure acts brought big changes to retirement account distributions. Can you help clients cut through the confusion?
December 07, 2023
Hotly Anticipated Secure 2.0 Act Corrections Bill Lands in House and SenateThe push is already on to find a piece of must-pass legislation to which to attach the new Secure 2.0 corrections bill.