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.
Ex-Morgan Stanley Exec Says He Was Fired for Being White
By Jeff BermanIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.
August 29, 2023
Court Paves Way for First Bitcoin ETFA three-judge appeals panel in Washington overturned a previous decision by the SEC blocking the Grayscale ETF.
August 28, 2023
FINRA Issues Cybersecurity Alert Tied to FBI WarningThe warning involves threats to Barracuda Email Security Gateway appliances, including those with security patches.
August 28, 2023
New CFP Board Enforcement Rules Kick in Sept. 1. Here's What You Need to Know.The revised Procedural Rules usher in new rules for CFPs who are under investigation.
August 27, 2023
Here's What Could Cause the Next Financial CrisisThis issue has led to 43 banking and financial crises in six nations over the past 200 years, says author Richard Vague.
August 27, 2023
Debate: Should the DOL Revert to the 2016 Fiduciary Standard?Our tax experts discuss whether bringing the 2016 fiduciary standard back to life would make sense.
August 27, 2023
Groups Move to Support Advisor in Annuity Switching CaseThe SEC alleges that the annuity replacement scheme caused some clients to incur $640,000 in surrender charges.
August 25, 2023
IRS Extends Deadline for Roth Catch-Up Contributions in New Secure 2.0 GuidanceCatch-up contributions made by wealthy 401(k) participants must be designated as after-tax Roth contributions by 2026.