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.
Ex-Broker Gets 2 Years in Prison for Social Security Fraud, Stealing From Church
By Jeff BermanThe former advisor was convicted of stealing more than $370,000 in disability benefits and $20,000 from a church.
February 23, 2022
IRS Releases Long-Awaited Secure Act RMD RegsThe Secure Act, enacted in 2019, left many open questions about RMDs, Ed Slott says.
February 22, 2022
Are You Keeping an Eye on Your Service Providers?Here's how RIAs can maintain effective due diligence programs to evaluate third-party risks.
February 22, 2022
Debate: Should Members of Congress Be Barred From Trading Stocks?Two professors discuss whether lawmakers should be required to place certain investment assets in a blind trust.
February 22, 2022
SEC's 'Accredited Investor' Update Could Bring Unintended Consequences — SEC RoundupLawyers Nick Morgan and Tom Zaccaro talk to Brittany Davis of Backstage Capital about how the change could affect investors.
February 18, 2022
FINRA Orders Review of Wells Fargo Arb Ruling That Was Struck Down in CourtA judge ruled that Wells Fargo had manipulated the arbitrator selection process.
February 18, 2022
Lawyers Release SEC Marketing Rule Checklist as Advisor Questions LingerModel portfolio marketing materials are raising a lot of questions, according to Eversheds Sutherland.
February 18, 2022
Fed Adopts Sweeping Trading Curbs After Ethics ScandalThe ethics scandal at the Fed has helped fuel momentum for stricter rules for members of Congress, as well.