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.
FINRA Provides Update on 'Finfluencers' Crackdown
By Melanie WaddellNew guidance illustrates some "initial themes" from the ongoing targeted exam.
February 24, 2023
The Murky Side of Tax-Loss HarvestingA recent ProPublica story raised questions on abuse of wash-sale rules. Here's what advisory pros think.
February 24, 2023
Is the Sweep of Advisors' Texting Legal? — SEC RoundupThe SEC is treating advisors like they're subject to BD requirements, says Jennifer Han of the Managed Funds Association.
February 23, 2023
Why a Federal Court Ditched DOL Fiduciary Standard for RolloversAdvisors should pay close attention to future developments and see whether the department chooses to appeal.
February 23, 2023
FINRA Warns of Ongoing Fake-Email ScamBad actors are sending phishing emails from addresses similar to FINRA's, the regulator says.
February 22, 2023
How Secure 2.0 Will Come Alive: Insights From a Treasury VeteranJ. Mark Iwry offers a peek into the Treasury Department's rulemaking machinery.
February 22, 2023
SEC Calls for Proceedings Against Imprisoned Ex-BrokerThe former broker was convicted of defrauding the oldest Black-owned insurance company in the U.S.
February 22, 2023
Wells Fargo Discloses Probes as Scrutiny of Messaging App Use WidensThe SEC and CFTC are investigating its retention of employee communications over unapproved messaging apps,