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.
TD Suspends Growth Guidance in Wake of Historic Settlement
By Christine DobbyAsked if the bank would consider U.S. divestitures, its CEO said “everything is on the table.”
December 04, 2024
Dissecting a GOP Senator's Misleading Social Security AttackWhile it’s fair to criticize the program’s shortcomings, stretching the truth doesn’t benefit anyone.
December 03, 2024
How to Avoid the Tax Trap of the Wash-Sale RuleTech tools can automate oversight of multiple accounts to ensure compliance while protecting investment gains.
December 03, 2024
Western Asset Management Names New CEO After SEC ProbeThe news comes after former co-CIO Ken Leech was charged with fraud.
December 02, 2024
FINRA Explains How to Amend Form U4 Under Home Office RuleA response to the Residential Supervisory Location question is required.
December 02, 2024
SEC Panel to Debate RIAs' Use of Mandatory Arb, Dangers of 'Finfluencers'The Investor Advisory Committee plans to discuss protecting young investors from bad financial advice on social media.
November 27, 2024
Are Small-Business Clients Ready for This Looming Deadline?Treasury's BOI reporting deadline is coming up, and penalties for violation are steep.
November 27, 2024
Atkins, Ex-SEC Commissioner, Could Succeed GenslerTrump is expected to make a pick in the coming days, but no decision has yet been made.