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.
Consumer Federation of America Starts Search for Roper's Replacement
By Melanie WaddellMike Canning, director of policy at NASAA, will be joining the consumer group in a consulting capacity.
August 27, 2021
SEC Wants Info on Advisor, BD Use of Tech That Hooks InvestorsSEC Chairman Gary Gensler says he's focused on protecting investors as technology that can influence their behavior proliferates.
August 27, 2021
Advisory Firm to Pay Nearly $2M to SEC Over 12b-1 Fees, Revenue SharingThe firm's mutual fund share class selection practices resulted in an unaffiliated BD receiving three types of fees.
August 26, 2021
Debate: Should Mega Roth IRA Balances Be Capped?Two professors debate whether the IRS should be able to tax any amount of tax-preferred IRAs exceeding an established limit.
August 26, 2021
Rhoades, Borzi: What to Expect From Consumer Advocate Roper at the SECRon Rhoades, Phyllis Borzi and others in the regulatory world discuss how Roper could shape issues like Reg BI and 12b-1 fees.
August 26, 2021
5 Ways New Compliance Systems Can Help Life InsurersNice Actimize's Lee Garf says having a compliance system listen all the time beats live-human spot checks.
August 25, 2021
SEC Accuses Advisor of Running $110M Ponzi SchemeThe Marietta, Georgia, advisor was named in a complaint by the SEC, along with two entities he controls.
August 25, 2021
Barbara Roper Gets Key SEC PostSEC Chairman Gary Gensler has appointed Roper, a prominent investor advocate, as a senior advisor.