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.
Ed Slott: Secure 2.0 Left Lots of Unanswered Questions
By Melanie WaddellAdvisors "will need to exercise caution with any interpretations" until Congress or the IRS provides answers, Slott says.
March 20, 2023
House Plans First Hearing on SVB, Signature Bank FailuresReps. McHenry and Waters also told GAO Monday to begin an "immediate" investigation into the banks' collapse.
March 20, 2023
Ed Slott: New IRS Guidance Clarifies 2023 RMDsWarn clients who turn 72 this year that they might get an incorrect RMD notice, Slott advises.
March 17, 2023
Jeremy Siegel: SVB Collapse Will 'Knock Some Sense' Into Fed Chair"I don't think this market's going down much further," the economist said.
March 17, 2023
Biden Seeks Tougher Penalties on Executives of Failed BanksThe president calls for clawbacks in the case of mismanagement and asks Congress to address the regional bank failures.
March 16, 2023
FINRA Plans New Branch Inspection, Home Office RulesFINRA plans to issue new remote supervision proposals and have another comment period, CEO Robert Cook said.
March 16, 2023
'Is My Money Safe?' What 7 Advisors Are Telling Clients — Advisors' AdviceEven though bank deposits and BD assets are well-protected from institutional failure, clients may still have concerns.
March 16, 2023
Here's What BDs Should Do After SVB, Signature FailuresThe regulator has issued a notice to broker-dealers that have deposits at the failed banks.