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.
Former SIFMA General Counsel Hammerman Joins Bates Group
By Melanie WaddellHammerman, who served 19 years as SIFMA's general counsel, will be based in Park City, Utah.
March 03, 2023
Work Phones Make a ComebackFirms, especially in finance, have grown concerned about data security as the SEC and CFTC step up scrutiny.
March 03, 2023
Are You Ready for the DOL's Next Fiduciary Deadline?Investment advisors must fulfill the latest requirements of the Prohibited Transaction Exemption for rollovers by July 1.
March 02, 2023
Debate: Should Multimillion-Dollar 401(k)s, IRAs Be Reported to the IRS?Our tax experts discuss whether a proposed requirement on the wealthiest would backfire on middle-income Americans.
March 02, 2023
SEC to Increase Onsite Advisor ExamsExpect a "significant" increase in onsite exams within the next six months, SEC official Natasha Greiner says.
March 01, 2023
LPL, Raymond James Caught in SEC's Messaging ProbeThey are among firms facing SEC inquiries about preservation of messages stored on personal devices or apps.
March 01, 2023
Senate Set to End Labor's ESG RuleThe expected move by Republicans and some Democrats is likely to be vetoed by the president.
March 01, 2023
New House Data Privacy Bill Could Limit State Insurance Regulators' AuthorityInsurance groups want changes. An electronic privacy group hates the reliance on disclosures.