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.
4 Must-Knows for Advisors in SEC's New Reg BI Guidance
By Melanie WaddellWhile aimed at BDs, the guidance helps clarify the care obligation for advisors, compliance expert Amy Lynch says.
April 27, 2023
Debate: Should Accredited Investor Rules Be Loosened?Our tax experts discuss whether lowering the requirements to qualify as an accredited investor would benefit average Americans.
April 27, 2023
House Panel Passes Accredited Investor BillsOne of the bills would deem clients of investment advisors who receive individualized advice to be accredited investors.
April 27, 2023
House Panel Passes E-Delivery BillThe bill requires the SEC to write a rule allowing financial firms to deliver documents in digital format.
April 26, 2023
Branch Offices Lack Policies for Protecting Client Records: SECThis failure has resulted in firms falling victim to cybersecurity and data breaches, according to an SEC risk alert.
April 26, 2023
Senate Panel Approves Labor Secretary NomineeJulie Su will now get a confirmation vote in the full Senate.
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.