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.
FPA to Pursue Legal Recognition of 'Financial Planner'
By Melanie WaddellMichael Kitces cheered the move but says the real work comes next.
July 20, 2022
Fidelity's Poaching Complaint Against Former Advisor and UBS Is DismissedFidelity sought injunctive relief to stop an ex-advisor who left the firm from allegedly poaching clients from it.
July 20, 2022
FBI Warns of Fake Crypto Apps Spoofing Financial InstitutionsThe FBI said that it has identified 244 victims and estimates the approximate loss associated with this activity to be $42.7 million.
July 19, 2022
IRA Rollovers Can Have Steep Costs When Done Wrong, New Study ShowsUnder the DOL's new rule, advisors need to consider more than just fees before recommending a rollover.
July 19, 2022
More Reg BI Actions May Be Ahead: SEC Enforcement ChiefExams related to Reg BI have "yielded a number of referrals," Gurbir Grewal tells lawmakers.
July 18, 2022
Equitable to Pay $50M for Misleading Teachers on Annuity FeesEquitable's account statements provided misleading fee info to about 1.4 million variable annuity investors, according to the SEC.
July 18, 2022
Stablecoins Show the Problem With Crypto in 401(k)sTo put the lack of crypto oversight in perspective, think of how tightly money market funds are regulated versus stablecoins.
July 18, 2022
Reg BI Makes FINRA's Top Customer Arb List, a FirstThough Reg BI was implemented two years ago, "it takes a while for cases to bubble up."