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 Releases Risk Alert on Marketing Rule Exam Priorities
By Melanie WaddellThe SEC highlights exam focus areas as the Nov. 4 compliance date approaches.
September 16, 2022
Move Now on SEC Marketing Rule Compliance, Pros WarnThe Nov. 4 compliance date for the Securities and Exchange Commission's new Marketing Rule is fast approaching.
September 16, 2022
Chicago BD to Pay Over $105K for Failing to Register as Muni AdvisorLoop Capital Markets is the first broker-dealer to be charged under the muni advisor rule.
September 16, 2022
Yellen Outlines Taxpayer Service Upgrades in IRS OverhaulThe effects of the IRS' $80 billion budget boost should be noticeable by next filing season, Yellen said.
September 16, 2022
FINRA Takes 'First Step' to Improve Arbitrator Selection ProcessFINRA has filed a proposed rule change to provide greater transparency and consistency in arbitrator list selection.
September 15, 2022
How to Qualify for Biden's Student Loan Debt ForgivenessAdvisors can play a valuable role in making the process as smooth as possible for their clients.
September 15, 2022
SEC Chief Presses Senators to Fund More Reg BI ExamsIn the last completed fiscal year, the agency conducted over 3,000 exams, exceeding the previous year, Gensler testified.
September 15, 2022
UBS Backs Ethic Asset Management Platform: Tech RoundupAlso, Hearsay Systems is adding new functionality to help advisors comply with the SEC's new Marketing Rule.