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 to Weigh New AI Rules for Brokerages
By Lydia BeyoudA plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.
June 09, 2023
TD Ameritrade Clearing Hit With $500K FineConfirmations sent to nearly 10 million clients did not disclose that the ETNs and preferred securities in question were in fact callable, FINRA said.
June 09, 2023
Debate: Should States Offer a SALT Cap Workaround?Our tax experts discuss states using pass-through entity taxes to get around the SALT cap.
June 08, 2023
SEC Examiners Turn Up the Heat on Marketing Rule ComplianceSEC's new risk alert shows examiners "will be undertaking a comprehensive approach," says attorney Issa Hanna.
June 08, 2023
Ex-Morgan Stanley Advisor Pleads Guilty to Money LaunderingThe ex-broker took more than $1.5 million from two close relatives who were clients, the prosecutor said.
June 08, 2023
Former SEC Chair Jay Clayton: Regulators Can't Bow to TechWhile too much regulation is a bad thing, so is too little, argues former SEC Chair Jay Clayton.
June 08, 2023
House Passes Bill to Create Senior Fraud Task ForceThe Senior Security Act would direct the SEC to set up a task force on protecting older adults from scams.
June 07, 2023
California Annuity Sales Rule Bill Faces Consumer Group OppositionThe consumer groups want to require agents to disclose cash compensation.