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.
Don't Make These Costly D&O Insurance Mistakes: SEC Roundup
By Nick Morgan and Tom ZaccaroAmy Jeter and Chris Crawford explain what to consider as the SEC proposes changes to insider trading plan requirements.
April 06, 2022
Biden Nominates 2 New SEC CommissionersThe nominees would replace former Commissioner Elad Roisman and departing Commissioner Allison Herren Lee.
April 05, 2022
Ex-BofA Merrill Staff Among 6 Banned by Fed Over Covid Loan FraudThe Federal Reserve imposed penalties on two individuals who previously worked at Merrill Lynch Wealth Management.
April 05, 2022
Trendspotter: SEC Cracks Down on Revenue Sharing, Including 12b-1 FeesRevenue sharing arrangements continue to be an SEC exam focus this year.
April 04, 2022
Ed Slott: IRS' Secure Act RMD Regs Are Effective Now; Here's How to ProceedClients with inherited IRAs should wait for more clarity before acting on the IRS' guidance, the CPA says.
April 04, 2022
SEC Warns Advisors on Rollovers Under Reg BIAdvisors must consider costs, investment options and other account features before recommending a rollover, regulators say in new guidance.
March 31, 2022
Brokers International's Mark Williams on the Annuity Market Force to WatchThe Department of Labor's sales standards were here, then they weren't. Now they're back.
March 30, 2022
IRS Clarifies Secure Act's 'One Bad Apple' Workaround for MEPsEmployers that are interested in MEPs should take note of the new requirements that will likely apply.