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.
How GIPS Can Help Advisors Boost Client Confidence
By Mark MatsonBecoming GIPS-compliant can be a lengthy and costly process, but it's worth the investment.
February 02, 2023
How Early 401(k) Withdrawal Penalties Punish the Most VulnerableStiff penalties for early retirement account withdrawals often drive people towards alternatives such as high-interest credit card debt.
February 02, 2023
FINRA Suspends, Fines 2 NY Brokers Over Reg BI InfractionsThe brokers recommended an excessive and unsuitable series of trades, FINRA says.
February 02, 2023
Why Wealth Taxes Have Always Been a Terrible IdeaA 1% or 2% wealth tax may sound small, but it's actually very large compared with current tax rates.
February 01, 2023
5 Ways BDs Fail to Meet Reg BI Care Obligation: SECSome firms have been telling reps what to do but giving no guidance on how to do it.
February 01, 2023
Be Ready for SEC's Proposed RIA Outsourcing RuleA proposed rule would impose new due diligence requirements on RIAs seeking certain third-party services.
February 01, 2023
GAO Digs Into Medicare Advantage Plans' Supplemental Benefits OfferingsThe majority of plans offer some dental and vision benefits, and some have added a smidge of home care.
January 31, 2023
9 Ways Advisors Can Drive and Close More Leads in 2023Samantha Russell and Susan Theder of FMG Suite explain how to kickstart your lead generation.