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.
Barclays Hit With $2M Fine Over Best Execution Failures
By Melanie WaddellThe firm routed customers' orders first to its own alternative trading system unless they opted out, FINRA said.
October 04, 2022
What the Portability Tax Change Means for HNW ClientsIf used properly, the estate and gift tax exemption can provide flexibility and simplicity for both advisors and their wealthy clients.
October 03, 2022
Debate: Should New Parents Be Allowed to Tap Social Security?The plan would expand paid parental leave but could lead to a "retirement income crisis" down the road.
October 03, 2022
7 Advertising Don'ts Under New SEC Marketing RuleThe SEC's new Marketing Rule has some prohibitions that affect all RIA ads, testimonials and endorsements.
October 03, 2022
Kim Kardashian to Pay $1.3M to SEC for Crypto ToutingHer 2021 Instagram post "may have been the financial promotion with the single biggest audience reach in history," said one regulator.
September 30, 2022
SEC Smites Pastor of Fake Church Over Ponzi SchemeThe Church for the Healthy Self held no religious services but ran an investment program promising 12% returns.
September 30, 2022
Big BDs Could Face Heftier Fines Under New FINRA Rules"This is one of the most significant revisions to the Sanction Guidelines in decades," a former FINRA enforcer says.
September 29, 2022
Irrevocable Life Insurance Trusts in Estate Planning: Common PitfallsAn ILIT wants to help you keep clients out of the traps.