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.
New IRS Mortality Tables Leave Out COVID-19
By Allison BellThe IRS is asking for advice about how to handle periods when "mortality improvement" did not happen.
May 02, 2022
What the Broker-Dealer Industry Looks Like Now, in 5 ChartsFINRA has released its 2022 Industry Snapshot.
April 29, 2022
Ex-Cetera Broker Gets $3M in Damages for Wrongful TerminationIn a FINRA arbitration case, the rep accused the firm of wrongfully terminating him in 2019.
April 29, 2022
Get Ready for New DOL IRA Rollover Guidelines This SummerAdvisors should brush up on rollover standards now to ensure they're ready to comply come July.
April 29, 2022
FINRA Alerts BDs to Email Phishing ScamsOne phishing campaign is ongoing and another new.
April 29, 2022
Wells Fargo Mistakenly Announces Death of Advisor Who Left Firm"It's good to be alive and I'm very thankful to be with oXYGen Financial," Robert Brian Watson told ThinkAdvisor.
April 29, 2022
Can Federal Courts Override SEC Enforcement Actions?: SEC RoundupCivil liberties lawyer Peggy Little discusses whether SEC defendants can challenge the SEC's hearing process in court.
April 28, 2022
Why RIA Advisors Are Better Fund Pickers Than BD Reps: StudyDual registrants act more like BD advisors when selecting funds, mainly basing decisions on past performance, David Blanchett says.