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.
Senate Confirms Lisa Gomez to Key DOL Post
By Melanie WaddellGomez is now in charge of Labor's fiduciary rulemaking.
September 28, 2022
Lawmakers Press IRS to Extend Late Fee ReliefLawmakers are asking that taxpayer penalty relief be extended from Sept. 30 to mid- to late November.
September 27, 2022
16 Firms to Pay $2B Over Text Message ViolationsFirms including BofA Securities, Goldman, Morgan Stanley and UBS failed to preserve messages on platforms like WhatsApp, regulators said.
September 27, 2022
The IRS Hates What Some Wealthy Clients Put in Their Life Policies: Larry RybkaThe Valmark CEO sees the private placement life fight turning into an investor control fight.
September 27, 2022
New DOL Fiduciary Rule Faces Another DelayThe department is grappling with two fiduciary-related lawsuits and other regulatory priorities.
September 26, 2022
Here's What Gets Brokers Barred, According to FINRAThe regulator brings about 400 to 500 cases a year against individual brokers, its deputy enforcement chief says.
September 23, 2022
Managing Tax-Efficient Withdrawal Strategies for RetirementAdvisors must consider the interaction of their clients' retirement income sufficiency, income taxes and potential estate taxes.
September 23, 2022
Our Clients Want Us to Text Them. Here's How.Texting comes with regulatory challenges, but it's clients' preferred communication method.