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.
Cetera Launches Regulatory Risk-O-Meter
By Melanie WaddellThe new resource is designed to help advisors measure and navigate developing regulatory risks.
October 29, 2024
Is It Time to End the 401(k)?Behavioral economist Shlomo Benartzi wants to switch to portable accounts; retirement plan experts cry foul.
October 28, 2024
CFP Board's Enforcement Powers Create Major Risks: SIFMAThe board's activities duplicate and conflict with those of the SEC and FINRA, the industry group warns.
October 25, 2024
5 Industries With the Most at Stake in the Presidential ElectionFrom financial services to health care and other fields, there will be clear business consequences to the upcoming election results.
October 25, 2024
Intelliflo Redblack Adds Wash Sale Alert ToolNew capabilities are designed to help financial advisors ensure compliance with IRS wash sale rules.
October 23, 2024
The Big Post-Election Surprise Awaiting InvestorsA "perfect fiscal policy storm" is coming, says Jeff Bush of The Washington Update.
October 22, 2024
SEC to Boost Scrutiny of AI Tools Used by Advisors, BrokersEarlier this year, the regulator fined two money managers for making allegedly bogus claims about their use of artificial intelligence.
October 22, 2024
Banks Brace for Era of Consumer Data SharingThe CFPB says bank clients will be able to demand, download and transfer their highly-coveted data to other financial firms for free. The final rule should cover checking accounts, credit cards and digital wallets, but not mortgages, student loans or car loans.