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.
SEC Review of Musk Tesla Tweets Likely to Focus on Truthfulness: Report
By Ben BainRegulator queries company on messages' accuracy, according to a report; agency's rules allow for announcements using social media.
August 07, 2018
What 8 Industry Leaders Think of SEC's Advice StandardsHere's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.
August 07, 2018
Culture, Not Regulation, Is the Key to Clients' Best InterestThe path forward for the industry must blend a legal best-interest standard with a culture that empowers investors.
August 07, 2018
These Regulators and Firms Are Bogus, SEC WarnsAgency alert details long lists of fake regulators, unregistered firms claiming to be registered, and firms impersonating legitimate ones.
August 06, 2018
Life Group Hopes SEC Will Bless Non-Cash CompThe ACLI is speaking up for plaques, training and marketing support.
August 06, 2018
Select Military Spouses to Receive Designation to Conduct Financial Counseling: FINRAThe FINRA Foundation Military Spouse Fellowship program participants will undergo rigorous training and gain hands-on experience — at no cost.
August 06, 2018
IRS Ruling Could Saddle Multinational Life Insurers With Big Tax BillsIn theory, the change could increase life insurers' 2018 federal income tax spending by 25%.
August 03, 2018
Worried About Broker Conflicts? The SEC Isn'tThe SEC's proposed conflict-of-interest rules don't give investors the protection they need.