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.
Could Non-Compete Agreements Be Finished?
By Thomas D. GiachettiA proposed rule from the Federal Trade Commission could require employers to rescind almost all existing non-compete clauses.
April 03, 2023
Do a 'Mock Audit' Now Before SEC Comes Knocking: Compliance ProFrontLine Compliance's Amy Lynch talks about today's top compliance issues and how advisors can prepare for what's ahead.
April 03, 2023
Watch Out When Using This Type of Trust: IRSThis kind of annuity trust can be misused by promoters, advisors and taxpayers trying to eliminate ordinary income and capital gains.
April 02, 2023
11 Tips for Helping Clients Worried About Their Cash: Advisors' AdviceAfter some recent bank failures, we asked a group of advisors for their top insights on how to best guide clients today.
March 31, 2023
What the Latest IRS Ruling Means for TrustsTax experts say a new IRS Revenue Ruling could have a significant impact on wealthy clients using certain types of trusts.
March 30, 2023
White House Proposes Tougher Bank Rules, New Tests After CrisisThe changes include reinstating rules for banks with assets of $100 billion to $250 billion, like SVB, such as liquidity requirements.
March 30, 2023
Fraudulent BD Account Transfers on the Rise: FINRABad actors can use information stolen from broker-dealer clients to open new accounts at other firms, or receiving members.
March 29, 2023
SEC Could Hire More RIA Examiners With Budget Boost: GenslerSignificant growth in RIAs "stretches thin the limited resources" of the exam division, SEC chairman tells lawmakers.