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.
SEC Marketing Rule Brings New Freedom, New Requirements: Brian McLaughlin
By Jane Wollman RusoffThe Orion exec discusses what advisors can do now and how to survive the upcoming SEC exam sweep.
October 26, 2022
IRS Faces 2023 Audit of Its Own IRA Enforcement EffortsThe audit could affect clients who take early IRA withdrawals, or who contribute too much.
October 26, 2022
DOL Extends Indie Contractor Rule Comment PeriodThe comment period has been extended to 60 days from 45.
October 25, 2022
End Call If a Medicare User Refuses Recording: Officials to AgentsCMS says the plan issuer is responsible for getting agents and brokers to record the calls.
October 24, 2022
Ex-MassMutual Broker Pleads Guilty to Defrauding ClientsThe barred broker used a client's funds to pay down his own debt and for personal travel.
October 24, 2022
FSI Asks DOL to Extend Indie Contractor Rule Comment PeriodThe comment period should be extended to 90 days from 45, FSI's David Bellaire says.
October 24, 2022
Is Reg FD Unconstitutional? — SEC RoundupFlorida International University College of Law Dean Antony Page talks about an interesting case that's going to trial.
October 24, 2022
6 New Retirement Numbers to Know for 2023The IRS has adjusted several thresholds related to 401(k)s, IRAs and tax credits.