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 Hits Madison Avenue Securities Over Revenue Sharing, 12b-1 Fees
By Melanie WaddellThe firm must pay more than $800,000.
May 27, 2022
SEC Investor Advocate Rick Fleming to DepartFleming, the first investor advocate for the agency, is leaving July 1.
May 26, 2022
UBS Must Pay Clients $1.4M Over YES Options StrategyA FINRA arbitration panel ruled against the wirehouse in another dispute over its Yield Enhancement Strategy.
May 26, 2022
Ex-SEC Chairman Says Private Fund Plan Goes Too Far: SEC Roundup"This proposal will be reviewed by the courts, there's no doubt," Harvey Pitt says.
May 25, 2022
5 Suggestions for the IRS on Secure Act RMD Regs, From Annuity and Pension ProsThe comment period on the IRS' interpretation of the Secure Act RMD rules has closed. Here's what retirement pros suggested.
May 25, 2022
Finseca Brings 626 Advisors to Schmooze WashingtonThe group could have an especially big impact on advisors' more complex clients.
May 25, 2022
SEC to Crack Down on Funds' Misleading ESG Claims With New RuleConcerns are mounting over a lack of consistent standards for investments claiming to be sustainable.
May 25, 2022
Barred Broker Whose Probation Was Revoked Pleads Guilty to FraudThe former Raymond James broker faces up to 50 years in prison for defrauding his clients.