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.
Investors Burned in NYSE Trading Chaos Demand Compensation
By Katherine DohertyOnce the NYSE determines how much it has to cover the claims, the amount will be divided proportionally, according to sources with knowledge of the matter.
January 30, 2023
House Passes Financial Exploitation Prevention ActThe bill, introduced by Rep. Ann Wagner, is aimed at protecting older investors.
January 30, 2023
Will 2023 Finally Deliver Fiduciary Clarity? CFPs Not Getting Hopes UpWidespread investor confusion about conflict-of-interest issues is a major challenge for advisors, Maura Mallaney says.
January 30, 2023
Ed Slott: 529-to-Roth IRA Rollover Is No Planning Panacea"I think advisors got the wrong idea" about this Secure 2.0 Act provision, Slott tells ThinkAdvisor.
January 30, 2023
SEC Issues New Warning on Reg BI Compliance FailuresBDs are using outdated compliance systems, resulting in violations, the SEC exam division says.
January 27, 2023
5 New House Committee Chiefs for Advisors to WatchThese lawmakers have sway over issues like Social Security and Medicare reform and fiduciary rules.
January 27, 2023
401(k) Income Solutions Threaten IRA Rollovers"In-plan" income solutions could go mainstream sooner than you think, Raymond James' Don MacQuattie tells ThinkAdvisor.
January 26, 2023
Schwab Criticizes NYSE Over System Failure That Roiled TradingStocks for hundreds of companies were affected, and trades were canceled after the wild market swings early Tuesday.