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.
A Top DOL Official Lays Out Her Year-End Priorities
By Melanie WaddellThe department is on the cusp of launching a key retirement tool, EBSA head Lisa Gomez tells ThinkAdvisor.
December 11, 2024
SEC Rule Predictions: What's In, What's Out in 2025Attorneys expect a slowdown or halt on texting fines and a potential Custody Rule revamp, among other changes.
December 11, 2024
Expect Dramatic Enforcement Changes in 2025: SEC RoundupLegal experts discuss their views on how 2025 might shape up.
December 10, 2024
Trump Will Have a Big Impact on Client PortfoliosYes, the next four years will be very different from the past four.
December 10, 2024
Ex- Broker Settles SEC Fraud, Reg BI Charges for $2MChristopher Booth Kennedy has agreed to pay more than $2 million to settle the charges.
December 10, 2024
8 Pros and Cons of Mandatory Arbitration for RIAsThe process can be more timely and cost -effective for dispute resolution, but it also has some downsides.
December 10, 2024
CEO Murder Suspect Was Ivy League Graduate Who Praised UnabomberFormer prep school valedictorian Luigi Nicholas Mangione has been charged with the murder of insurance executive Brian Thompson.
December 10, 2024
Number of CFP Exam-Takers Sets New HighThe pass rate for the November exam was 62% with the second-largest number of people taking it.