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.
Treasury Taps Retirement Funds to Avoid Breaching Debt Limit
By Christopher AnsteyTreasury Secretary Yellen informed congressional leaders of the step Thursday.
January 18, 2023
FINRA: Ex-Advisor Group Broker Lied About CBD Oil Side HustleThe former broker for Advisor Group's Woodbury Financial allegedly provided false info about her unapproved CBD oil businesses.
January 17, 2023
CFP Board Sanctions Advisor Over Misleading YouTube Video AdThe planner claimed individuals could be "100% certain" of affording retirement in "just 3-5 years," the board said.
January 17, 2023
Ex-AARP Lobbyist Named New SEC Investor AdvocateCristina Martin Firvida oversaw federal and state advocacy on Social Security, pensions and more at AARP.
January 17, 2023
New SEC Marketing Rule FAQ Could be 'Problematic,' Compliance Pro SaysExperts say the directive on displaying gross and net performance doesn't align with how firms actually calculate performance.
January 17, 2023
Schwab Sends Settlement Checks to Robo-Advisor ClientsClients should be aware of possible tax implications from the checks.
January 17, 2023
How Secure 2.0 Expands Retirement Plan Hardship WithdrawalsThese new changes can offer an important source of liquidity for your clients in the face of unforeseen emergencies.
January 13, 2023
Trump's $1.6M Tax-Fraud Hit Eclipsed by Impact of Felony ConvictionTwo Trump Organization business units were sentenced on Friday in New York after a felony conviction last month.