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.
Biden Picks Ex-Maryland Governor to Lead Social Security Administration
By Melanie WaddellThe seat has been open for more than a year.
July 25, 2023
Ex-LPL Broker Suspended for Teaching Online CoursesThe former broker had five outside business activities without LPL's approval according to FINRA.
July 25, 2023
UBS to Pay $387M in Credit Suisse-Linked Archegos FinesUBS previously warned that legal liabilities related to Credit Suisse could run to $4 billion over 12 months.
July 25, 2023
GAO to DOL: Pay More Attention to 403(b) PlansThe report could also boost efforts to apply a fiduciary rule to non-ERISA 403(b) plans.
July 24, 2023
Advisor Fights SEC in Annuity Switching CaseJeffrey Cutter didn't violate the Advisers Act because he was acting as an insurance agent, his lawyers argue.
July 24, 2023
SEC to Vote Wednesday on Digital Nudges, Robo PlansThe agency plans to consider a plan to propose rules for RIAs and BDs on predictive data analytics.
July 24, 2023
IRS Halts Most Unannounced Home VisitsThe change is a response to safety concerns for both agents and taxpayers, the IRS says.
July 24, 2023
6 New IRS Guidelines Advisors Should KnowDigital assets, RMDs, and HSAs are just a few of the topics addressed so far in 2023.