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.
Labor Secretary Marty Walsh Offered Top Post at NHL Players' Group
By Rebecca Rainey and Jennifer JacobsWhen Walsh will officially step down from his Cabinet position has not yet been announced.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.
February 07, 2023
Regulators Warn of Self-Directed IRA RisksSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 07, 2023
SEC Worries About Rating Analyst OverloadIn 2021, about 1% of the ratings that the SEC tracks were insurance and annuity ratings.
February 07, 2023
Biden Will Call for Billionaire Tax, Bigger Levy on Stock BuybacksThese proposals will be highlighted by the president tonight in his State of the Union address.
February 06, 2023
Dually Registered Firm Sold Complex Structured Products to RetireesThe SEC fined Centaurus Financial and two employees for selling variable interest rate structured products to unqualified customers.
February 06, 2023
Secure 2.0 Can Make Clients' Retirement Plans StrongerExplaining change can create sales opportunities.