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.
Trump Taps His Ex-SEC Chair Jay Clayton as U.S. Attorney for Manhattan
By Ava Benny-Morrison and Chris DolmetschThe role, often dubbed the Sheriff of Wall Street, is famous for tackling complex and high-profile cases.
November 14, 2024
FINRA Fines BBVA Securities for Failing to Monitor Annuity Exchange RatesThe broker-dealer did not have an adequate supervisory system in place, the regulator found.
November 13, 2024
No More Waivers: IRA Beneficiaries Must Take RMDs in 2025The IRS has been clear that additional taxpayer relief will not be forthcoming around these distributions.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.
November 12, 2024
FINRA Fines Firm $30K for Form CRS FailuresG.research failed to disclose its own and its control affiliates' disciplinary history on Form CRS.
November 11, 2024
Who Might Succeed Gensler as SEC ChairRichard Farley of Kramer Levin Naftalis & Frankel and Norm Champ of Kirkland & Ellis are among the contenders.
November 08, 2024
Osaic Failed to Supervise Trading in Dead Client's Account: FINRAThe broker-dealer, earlier known as SagePoint, was fined $250,000 for issues with this matter and another account.
November 08, 2024
Here's Who Could Lead Trump's Economic AgendaHe's likely to pick top advisors and cabinet secretaries from a pool of Wall Street and business executives.