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.
5 Ways Advisors Can Use Video and Stay Compliant
By Candice Carlton and GJ KingConcerns about using this marketing tool can be easily overcome. Here's a primer on how to avoid those headaches.
October 19, 2020
SEC Chief 'Cautiously Satisfied' With Reg BI but Seeing Some Troubling TrendsThe SEC chairman shared his views during an interview with SIFMA CEO Ken Bentsen at the association's virtual event.
October 19, 2020
FINRA Files to Boost Arbitrators' PayLawyers for investors support the pay hike but "we do not want arbitrators to be doing this as their living," says PIABA's Sam Edwards.
October 16, 2020
FINRA Bars Ex-Ameriprise Rep Who Took $42,000 From a ClientThe broker had been terminated after allegedly converting the elderly client's funds for his own use.
October 16, 2020
Human Capital: Michael Kitces on Fiduciary Fight and Why He's 'Extremely Nervous' About Schwab DealIn this episode, the popular blogger discusses what's next in his battle against SEC Reg BI and why he's worried about the TD Ameritrade integration.
October 14, 2020
FINRA Fines Ex-Merrill Rep Who Hid Apartment Rental BusinessThe former broker voluntarily resigned from Merrill while under internal review, FINRA says.
October 13, 2020
Kitces: Rumors of Reg BI's Death Under Biden May Be ExaggeratedA new administration may not have the "appetite" for new rules but could reinterpret existing ones, the XY Planning co-founder says.
October 13, 2020
Ric Edelman's Crypto Council Buys Events Group, Names Inside ETFs Co-Founder PresidentThe RIA Digital Assets Council has acquired JV Events Group and plans to hold a virtual conference in March.