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 Bill Would Bar DOL From Constraining 401(k) Investments
By Melanie WaddellThe Financial Freedom Act is likely a reaction to Labor's scrutiny of crypto, Ed Slott and Fred Reish said.
May 27, 2022
Morgan Stanley Must Pay Client $160K Over Broker's TradingThe wirehouse was found liable for failure to supervise the ex-rep, who must also pay $160,000.
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.