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.
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC Roundup
By Nick Morgan and Tom ZaccaroNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
12 Federal Budget Cut Ideas That Could Hit Retirement Savers HardLawmakers could use some of these items to offset the cost of spending and tax break proposals.
February 09, 2023
SEC to Consider RIA Custody Rule Changes Next WeekThe agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV.
February 08, 2023
Labor Secretary Marty Walsh Offered Top Post at NHL Players' GroupWhen Walsh will officially step down from his Cabinet position has not yet been announced.
February 08, 2023
'Accredited Investor' Definition Sparks House DebateAt issue: the SEC's plan to update in April the financial thresholds defining who qualifies.
February 08, 2023
Deloitte Warns Life Insurers to Get a Jump on Internal AuditsFirm analysts say companies should find any sales and marketing problems before FINRA and DOL examiners do.
February 07, 2023
SEC Reveals Top Exam Priorities for 2023The new Marketing Rule is one compliance area that tops the list.
February 07, 2023
Ex-LPL, Wells Fargo Rep Pleads Guilty to Stealing $600K From ClientsThe now-barred broker used clients' money to fund gambling and personal expenses, according to the Justice Department.