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.
Secure 2.0 Drafting Error Threatens Catch-Up Contributions
By John ManganaroExperts like Ed Slott say a technical correction is likely.
January 24, 2023
FINRA Enforcement Head to Step DownJessica Hopper is leaving after 18 years with FINRA. Christopher Kelly will be acting head of enforcement.
January 24, 2023
SEC Fines Bloomberg Finance $5M Over 'Misleading' Securities Pricing ProductThe firm consented to the SEC's cease-and-decease proceedings without admitting or denying the allegations.
January 23, 2023
March CAT Deadline Raises Investor Privacy Alarm: SEC RoundupKen Bentsen and Ellen Greene of SIFMA discuss how the SEC can protect investor privacy now.
January 23, 2023
FINRA Asks SEC to Extend Use of Video HearingsDue to "continued presence and uncertainty of COVID-19," FINRA wants to allow hearings by video through April.
January 20, 2023
7 Hot Compliance Tips From FINRA LeadershipA FINRA exec says complaints against advisors are rising and gives advice to help keep firms out of the crosshairs.
January 20, 2023
DOL Indie Contractor Rule Would Cause 'Significant Disruption'The proposed changes would spark the potential retirement of up to a fifth of independent financial advisors, a new report warns.
January 19, 2023
Are 529 Plan Rollovers the New Backdoor Roth?This Secure 2.0 provision intrigues advisors, but there's some fine print, warns Ian Berger of Ed Slott and Co.