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.
Reg BI Makes FINRA's Top Customer Arb List, a First
By Melanie WaddellThough Reg BI was implemented two years ago, "it takes a while for cases to bubble up."
July 15, 2022
House-Passed Defense Bill Includes AML Rule for AdvisorsThe bottom line is that anti-money laundering rules are "on the horizon for investment advisors," says the Investment Adviser Association.
July 15, 2022
4 Things to Consider Before Buying a Deferred Income Annuity: FINRAUnlike immediate annuities, the payout from deferred income annuities comes at a predetermined future date.
July 15, 2022
15 Hottest Compliance Topics for Advisors in 2022Here's what's on advisory firms' minds now, according to the Investment Adviser Association.
July 15, 2022
Wall Street Texting Habit Sticks Banks With Rare $1B BillRegulators have zoomed in on Bank of America, Citigroup, Goldman Sachs, JPMorgan and Morgan Stanley over record-keeping lapses.
July 14, 2022
SEC Action Against CCO Raises Many QuestionsThe order suggests that regulators will continue to second-guess CCOs' conduct.
July 14, 2022
Morgan Stanley to Pay $200M Over Misuse of Personal DevicesEarlier, regulators imposed a similar fine on JPMorgan, noting that managers had used WhatsApp and personal email for work.
July 13, 2022
Sen. Warren Floats Bill to 'Simplify' Tax FilingAmong other measures, the bill directs the IRS to develop a free, online tax preparation and filing service.