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.
The Advisory Industry in 2020: A Snapshot
By Melanie WaddellThe number of SEC-registered advisors grew almost 4% since 2019, an IAA and NRS report shows.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 06, 2020
FINRA Sets Sights on Registered Index-Linked AnnuitiesThese annuities have seen a significant jump this year, said FINRA CEO Cook.
November 05, 2020
IRS: Self-Supporting College Students Can Claim Stimulus ChecksNov. 21 is the deadline to receive payments this year.
November 05, 2020
Time Running Out for Trump DOL Fiduciary RuleFinal rules made less than 60 days before a president leaves office can be easily undone, a former EBSA chief says.
November 05, 2020
SEC Asset Management Committee Taps Tibergien's ReplacementLaRoche-Morris is BNY Mellon Investment Management's chief operating officer.
November 04, 2020
IRS Warns of New Text Scam Tied to Stimulus PaymentsThe scam tricks people into disclosing bank account information.
November 04, 2020
Fake Advisor Calling Himself 'Dr. Cash' Arrested for Securities FraudThe unregistered advisor allegedly scammed investors using a fictitious fund, according to the SEC and U.S. Attorney's Office.