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.
'Snowbirding' in Retirement: 10 Tax and Planning Facts to Know
By John ManganaroOwning multiple residences comes with both potentially large benefits and important tax nuances.
October 10, 2023
Advisors Take Note: These 8 States Have New Telemarketing LawsAdvisors risk violating not only state laws but the SEC's Marketing Rule when telemarketing their services.
October 09, 2023
Fiduciary Fight Set to Move to More States After Massachusetts RulingA Massachusetts decision opens doors for stricter rules elsewhere, even as Labor's rule could be out this month.
October 09, 2023
Ex-LPL Broker Sentenced to 15 Years in Prison for Stealing $1.3M From ClientPatrick Noel Thayer was convicted of defrauding a client and raiding her investment proceeds.
October 06, 2023
FINRA Files to Limit Non-Lawyers' Work on Arb CasesParties in FINRA-arbitrated disputes would no longer be allowed to pay non-attorneys to represent them.
October 06, 2023
Clients Come First: In Support of a Fiduciary StandardThe DOL should take note: Investors and financial advisors alike benefit from a model based on trust.
October 06, 2023
Unicorns May Be Dragged Into Public Markets: SEC RoundupThe SEC is considering a rule changing how shareholders are counted, with big implications for private companies.
October 06, 2023
900 Individuals Returned to Industry Using FINRA Continuing Ed ProgramThe Maintaining Qualifications Program is open for enrollment until Dec. 31.