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-Merrill Broker Says He's Relieved After Do-Not-Call Allegation Expunged
By Jeff BermanAn arbitrator for FINRA called the allegation made by Merrill against its former broker defamatory in a recent decision.
November 29, 2021
4 Big FINRA Rule Changes in 2021The BD regulator has been busy updating its rule book, and more changes are expected in 2022.
November 29, 2021
Biden's Pick for Key DOL Post Is Up for Vote; Fiduciary Rule Delay ExpectedA former EBSA head says Labor won't meet its December deadline to release a new fiduciary rule.
November 24, 2021
10 Cool Holiday Gifts for Clients Under $100These gifts range from the practical to the nice-to-have to the whimsical and fit within FINRA's client gifting rules.
November 24, 2021
Google Reviews Are the New Client Referrals: Samantha RussellThe new Google Screened "could be a huge game changer" under the new SEC ad rule, she says.
November 24, 2021
Ex-Edward Jones Rep Indicted for Allegedly Defrauding Clients Out of $778KRonald Molo used some funds to pay for vehicles, credit card balances and home mortgages, prosecutors say.
November 24, 2021
Biggest Washington News of 2021The biggest news of this year includes regulatory, Social Security and SEC changes.
November 23, 2021
Beware of DOL Prohibited TransactionsAdvisory fiduciaries need to avoid the minefield of specific ERISA and IRC customer protection rules.