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.
New Bill Would Expand Pool of Individual Health Coverage Shoppers
By Allison BellThe House is preparing to vote on a bill that would expand the use of employer cash to pay for workers' individual health coverage.
June 14, 2023
Battle With Law Firm Over China Hack Comes to a Head: SEC RoundupThe SEC wants information on Covington & Burling's advisor and BD clients hit in a 2020 cyberattack.
June 14, 2023
House GOP Seeks to Remove SEC Chair Gensler, Restructure CommissionThe proposed SEC Stabilization Act would add a sixth commissioner and ensure political party parity.
June 13, 2023
SEC to Weigh New AI Rules for BrokeragesA plan to rein in conflicts of interest associated with the use of artificial intelligence could be introduced as soon as October.
June 12, 2023
New Bill Would Ease Use of Annuities as 401(k) Plan Default OptionsH.R. 3942 has a Democrat and a Republican as sponsors and strong support from TIAA.
June 09, 2023
Ex-RBC, Ameriprise Broker Charged With Kidnapping Is Barred by FINRARBC fired Scott Matalon after he was arrested; the bar stems from a client complaint at Ameriprise.
June 09, 2023
TD Ameritrade Clearing Hit With $500K FineConfirmations sent to nearly 10 million clients did not disclose that the ETNs and preferred securities in question were in fact callable, FINRA said.
June 09, 2023
Debate: Should States Offer a SALT Cap Workaround?Our tax experts discuss states using pass-through entity taxes to get around the SALT cap.