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.
Kate Healy to Leave Center for Financial Planning Post
By Jeff BermanShe will step down as managing director of the CFP Board's Center for Financial Planning to open a consulting practice.
May 16, 2023
Revised CFP Board Procedural Rules Coming Sept. 1The role of Disciplinary and Ethics Commission Counsel has been expanded, according to the board.
May 16, 2023
Ex-Advisor, Minister, Gets 10 Years for Real Estate SchemeThe former CFP was ordered to pay $1.6 million in restitution after allegedly misleading clients on rental property investments.
May 16, 2023
Reg BI Is a 'Work in Progress': SEC ChiefSEC Chairman Gensler addressed hot topics, like off-channel communications, at FINRA's annual conference Tuesday.
May 15, 2023
SEC Isn't Considering Short-Selling Ban: GenslerCritics have argued such measures are needed because recent declines in some bank stocks have little to do with a lender's outlook.
May 15, 2023
DOL Drops Rollover AppealThe move likely means a new fiduciary proposal addressing rollover advice is imminent, ERISA attorney Fred Reish says.
May 15, 2023
FINRA Expels Firm Over Reg BI Violations"The serious misconduct in this case exposed customers to significant risk of harm and necessitated expulsion," the regulator said.
May 12, 2023
Single-Stock ETFs Get Vote of Confidence in Huge 32-Fund FilingGraniteShares is looking to double the existing lineup of single-stock funds.