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.
FINRA Asks SEC to Extend Use of Video Hearings
By Melanie WaddellDue to "continued presence and uncertainty of COVID-19," FINRA wants to allow hearings by video through April.
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.
January 19, 2023
Treasury Taps Retirement Funds to Avoid Breaching Debt LimitTreasury Secretary Yellen informed congressional leaders of the step Thursday.
January 18, 2023
FINRA 'Ready to Act' if SEC Finalizes Best-Execution Rules: CEOEnsuring regulatory clarity on evolving best execution standards is a top priority for 2023, FINRA's Robert Cook says.
January 18, 2023
Trust Company Fined Over 12b-1 FeesThe company failed to adequately disclose in marketing materials its receipt of 12b-1 fees, the SEC says.
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.