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.
Adam Handler: The New SEC Reg BI Guidance Is Spectacular
By Allison BellThe Q&A may not be simple or gentle, he says. But he's thrilled to see details.
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.
April 19, 2023
Prudential Agrees to Group Life Claim Changes in DOL SettlementThe insurer agreed to limit challenges based on the insureds' insurability after Labor took issue with denied claims.
April 19, 2023
New Bill Would Cut Thresholds for Accredited InvestorsThe bill runs counter to the SEC's stated goal of increasing the income and net worth thresholds.
April 19, 2023
Barclays to Shut 21 ETNs a Year After 'Staggering' Note BlunderThe SEC says Barclays sold about $17.7 billion of securities in unregistered transactions; it agreed to pay $361 million to resolve the charges.
April 19, 2023
Senate Panel to Consider Su's Labor Secretary Nomination ThursdayJulie Su has faced Republican criticism for supporting a California law classifying more independent contractors as employees.
April 19, 2023
Biden Order Could Create Federal Long-Term Care Benefits DemandSome federal contractors are supposed to consider adding LTC support.