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.
Tougher DOL Fiduciary Rule Is on the Way. But When?
By Melanie WaddellFormer EBSA head Preston Rutledge tells ThinkAdvisor where he thinks the rule stands on Labor's priority list.
April 28, 2021
SEC's New Enforcement Chief Resigns After Days in RoleHer conduct as a lawyer in an ExxonMobil civil case was called into question, Bloomberg reported.
April 28, 2021
IRS Pandemic Response Challenge: How Does Your Firm Compare?An oversight agency says the IRS employed many more people to answer the phones but took 64% longer to answer calls.
April 27, 2021
New DOL Fiduciary Rule Creating 'Regulatory Whiplash': Attorneys"There is much to be concerned about" in a recent FAQ from the department, Eversheds Sutherland lawyers warn.
April 26, 2021
FINRA Provides Advice for BDs to Fight FraudFINRA warned early this month that the regulator's exams this year would focus on BD filings of SARs.
April 26, 2021
What to Do About the Return of the DOL RuleBy Dec. 20, broader "prohibited transaction exemption" rules will be mandatory, and advisors will need to comply.
April 26, 2021
Why Family Offices Are in SEC's CrosshairsIndustry officials weigh in on the Archegos meltdown, along with a review of a family office rule that's already on the regulatory agenda.
April 23, 2021
Human Capital: Ed Slott on Why Raising RMD Age Is 'Useless'Slott also zeros in on how rollover advice is a central aspect of DOL and SEC best-interest rules.