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 Wants BDs to Assess Cash Reserves Daily
By Melanie WaddellThe SEC's plan, released Wednesday, would amend the broker-dealer customer protection rule.
July 10, 2023
Second Judge Strikes Down DOL Rollover GuidanceJudge Rebecca Rutherford ruled to vacate three portions of Labor's PTE 2020-02.
July 10, 2023
FINRA Sends More Remote Office Updates to SECFINRA is adding more criteria to its Residential Supervisory Location plan.
July 10, 2023
Biden Administration Moves to Ban Fee-for-Service Indemnity HealthFederal agencies have also proposed limiting the duration of short-term health insurance to four months.
July 10, 2023
April Rudin on Threads: 'Look Before You Leap!'Marketing experts counsel advisors to take a wait-and-see approach to the new social media platform.
July 10, 2023
IRS Issues New Guidance on Stock Buyback TaxCorporations do not yet have to pay the tax but should keep records, the IRS confirmed.
July 07, 2023
Barred Broker Accused of Bilking Gold Star Families as Army CounselorThe ex-broker is accused of defrauding 24 families; also on Friday, FINRA expelled his former BD.
July 06, 2023
SEC to Release New Rules for $5.5T Money-Market IndustryThe regulator is set to hold a meeting July 12 to finalize the changes, which aim to prevent outflows like those of March 2020.