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.
House Panel Passes E-Delivery Bill
By Melanie WaddellThe bill requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
April 25, 2023
Wealthtender Adds Testimonial Marketing EvangelistAdvisors are still not clear on how to comply with the new SEC Marketing Rule, Diana Cabrices says.
April 25, 2023
How Banking Woes Create Business for AdvisorsScott Curtis, head of Raymond James' Private Client group, explains the firm's growth goals, regulatory pressures and outlook on the industry.
April 25, 2023
Adam Handler: The New SEC Reg BI Guidance Is SpectacularThe Q&A may not be simple or gentle, he says. But he's thrilled to see details.
April 24, 2023
Federal Financial Watchdog Aims to Expand Its ReachFSOC says it will act before state regulators, if necessary, to fight potential threats.
April 21, 2023
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn ChargesRandall Kiefer has been charged with 21 counts related to child porn.
April 20, 2023
9 Questions Clients Are Asking About Bank Failures, Deposit InsuranceMany investors have only a vague understanding of the deposit insurance protecting their various accounts.
April 20, 2023
SEC Issues New Reg BI GuidanceA Q&A clarifies how to determine if an investment or strategy is in a client's best interest.