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.
Phyllis Borzi: DOL's New Rollover Rules a 'Reasonable Step Forward'
By Melanie WaddellThe former EBSA chief says next steps should address "the glaring loopholes" in the five-part test for fiduciary status.
June 27, 2022
5 Rules the SEC Plans to Review This YearThe SEC's annual "Reg Flex" agenda is notable for what is not on it, Ron Rhoades says.
June 23, 2022
FINRA Says National Securities Corp. Must Pay $9MThe fines, disgorgement and restitution are due to misconduct tied to 10 public offerings and other violations.
June 23, 2022
How to Avoid Trouble With Ethics Codes, Nonpublic InformationThe SEC warned advisory firms on potential ethics violations and insider trading problems.
June 23, 2022
SEC to Propose New Rules for Online Brokers' Game-Like FeaturesThe rule plan, announced this week, could pose significant challenges for online brokerages and advisors.
June 22, 2022
Meet the LUMINARIES Class of 2022 FinalistsNow in its second year, the recognition program spotlights firms and individuals who excel in four categories.
June 22, 2022
New DOL Fiduciary Rule Pushed to DecemberThe Biden administration may be running out of time, a consumer advocate says, but a rule could come out this year.
June 21, 2022
FINRA Releases Restricted Firm Compliance ToolBDs can use the tool to determine whether they meet the preliminary criteria to be designated as a restricted firm.