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.
State Lawmaker Group Attacks DOL Fiduciary Rule Revival
By Allison BellCarl Anderson, NCOIL's life chair, said a return of the 2016 rule would hurt state insurance regulation.
July 27, 2023
$35M Ponzi Scheme Targeted Church Members: SECBrent Seaman and his marketing materials touted some "25 years of running successful businesses and 'an assignment from a higher power,'" the SEC complaint states.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 27, 2023
7 Annuity Exclusion Ratio Basics to KnowHow clients apply the rules depends on the types of annuities they own.
July 27, 2023
AdvicePay Names New CEOAlex Sauickie succeeds co-founder Alan Moore; he is a veteran fintech exec and a New Jersey assemblyman.
July 26, 2023
Hunter Biden's Plea Deal on Tax Charges in LimboA hearing over the plea agreement tied to misdemeanor tax crimes and a firearm violation ended on Wednesday without resolution.
July 26, 2023
SEC Floats New Rules on Digital Nudges, RobosBroker-dealers and advisors could be required to address conflicts of interest associated with AI and predictive data analytics.
July 26, 2023
LPL Fined $3M for Failing to Investigate Red Flags, Supervise RepsFINRA alleges that at least 50 LPL Financial registered representatives forged electronic signatures on over 1,000 documents.