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.
Senate Confirms Scalia as New Labor Secretary
By Melanie WaddellThe Senate voted 53-44 on Thursday afternoon.
September 24, 2019
IRS Weighs In on RMDs, FeesTax experts discuss rulings on uncashed distribution checks, advisors' annuity fees.
September 24, 2019
Scalia Is Still in the DOL Fiduciary Rule GameA Senate panel voted Tuesday to advance his nomination to the full Senate.
September 23, 2019
FINRA Answers Questions on BDs' Electronic CommunicationsFor example: What should brokers know about disclosures in marketing materials?
September 20, 2019
Treasury Loosens Rules on 401(k) Hardship WithdrawalsThe new rules on withdrawals of elective distributions also apply to 403(b) plans.
September 20, 2019
SEC Commissioner: Time to Reassess BD Best Execution ObligationsThe commission should "consider whether minor adjustments or more significant changes are appropriate" for the Order Protection Rule, he said at a SIFMA event.
September 20, 2019
Kitces Addresses Concerns on XY Planning's Rapid GrowthIn an interview with ThinkAdvisor, Michael Kitces also discussed the network's lawsuit against Reg BI.
September 19, 2019
FINRA Enforcement Chief Schroeder to Leave Later This YearFINRA will search both internally and externally for Schroeder's replacement.