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 Releases New Fiduciary Rule
By Melanie WaddellPresident Joe Biden said Tuesday "we're taking additional action to eliminate junk fees in retirement savings."
October 30, 2023
New DOL Fiduciary Rule to Be Released Tuesday: ReportThe rule will be released for public comment at White House event with President Biden attending.
October 26, 2023
Raymond James' Profits Take $55M Hit From FinesThe $55 million hit was tied to the SEC's industry sweep of firms' off-channel communications.
October 25, 2023
'All Cases Are Important,' SEC's Gensler SaysGensler and the agency's enforcement director also addressed off-channel communications Wednesday at the Securities Enforcement Forum.
October 25, 2023
Chase Customers Again Report Missing Money, Wrong BalancesChase online banking users complained that transfers from Venmo, CashApp, Uber and PayPal weren't showing in their accounts.
October 25, 2023
Lawyers Enlist State Regulators in Fight to Stop Brokers From Erasing ComplaintsPIABA is offering training for state regulators as a new FINRA rule gives them new authority in expungement cases.
October 24, 2023
IRS Ruling Could Help Fee-Only Advisors Use Life InsuranceChad Nulty, a company executive, says getting the ruling shows Protective's commitment to the RIA market.
October 24, 2023
DOL's Gomez Explains New Fiduciary RuleWhile it's now called the Retirement Security rule, its intent hasn't changed, the Labor official tells ThinkAdvisor.