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.
Regulators Warn of Self-Directed IRA Risks
By Melanie WaddellSelf-directed IRA investors are on their own in following rules and avoiding risky investments, Ed Slott says.
February 06, 2023
Dually Registered Firm Sold Complex Structured Products to RetireesThe SEC fined Centaurus Financial and two employees for selling variable interest rate structured products to unqualified customers.
February 06, 2023
Secure 2.0 Can Make Clients' Retirement Plans StrongerExplaining change can create sales opportunities.
February 03, 2023
How GIPS Can Help Advisors Boost Client ConfidenceBecoming GIPS-compliant can be a lengthy and costly process, but it's worth the investment.
February 03, 2023
Raymond James, Rep to Pay $20M Over Recruiting 'Raid' on Wells Fargo OfficeRaymond James recruited away the branch office's entire team, resulting in its closure, Wells Fargo Advisors said.
February 02, 2023
NYSE Glitch Caught Up in Fight Over SEC Rewrite of Trading RulesSchwab and Robinhood say the incident was a reason for concern and an argument against exchange-run auctions.
February 02, 2023
How Early 401(k) Withdrawal Penalties Punish the Most VulnerableStiff penalties for early retirement account withdrawals often drive people towards alternatives such as high-interest credit card debt.
February 02, 2023
FINRA Suspends, Fines 2 NY Brokers Over Reg BI InfractionsThe brokers recommended an excessive and unsuitable series of trades, FINRA says.