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.
NYSE Mayhem Traced to Staffer 700 Miles Away
By Katherine DohertyBehind closed doors, NYSE executives are grappling with both the potential cost and the impact on the exchange's reputation.
January 26, 2023
FINRA Asks Members to Check RILA DisclosuresExaminers will also review marketing to customers who already own variable annuities.
January 26, 2023
Vestmark Adds 6 New SMA Strategies: Tech RoundupAlso, Financial Services Institute teams with Broadridge to introduce free Form CRS Video Guide for FSI members.
January 25, 2023
Markets Are Worried About the Debt Ceiling. These Charts Show How Much.These graphs show just how jittery markets are getting and what timeframes they're most concerned about.
January 25, 2023
How Would Your Clients Score on FINRA's Investor Quiz?FINRA revealed how investors scored on a 10-question quiz, finding knowledge gaps advisors should be aware of.
January 25, 2023
NYSE Finds Culprit of Glitch That Caused Market ChaosOver 1,300 trades and some 84 stocks were affected and marked as "aberrant" yesterday, the exchange said.
January 24, 2023
NYSE Says Certain Trades to Be Canceled After Glitch at OpenBanks, retailers and industrial firms were among those affected, including Wells Fargo, Morgan Stanley and Walmart.
January 24, 2023
Secure 2.0 Drafting Error Threatens Catch-Up ContributionsExperts like Ed Slott say a technical correction is likely.