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.
Raymond James Nears $50M SEC Settlement Over Texting Issues
By Dinah Wisenberg BrinThe broker-dealer is one of several firms caught up in the SEC's off-channel communications sweep.
August 09, 2024
EHealth CEO to Medicare Advantage: Extend the Enrollment Period NowFran Soistman worries about beneficiaries facing a perfect storm of enrollment confusion.
August 09, 2024
SEC Hits RIA With $430K Marketing Rule FinePacific Financial's hypothetical performance ads were disseminated on its website rather than to an intended audience.
August 09, 2024
Supreme Court Ruling, Criminal Trial Shake Up Insider Trading: SEC RoundupThe attorneys unpack how recent developments could affect enforcement around planned insider sales of company stock.
August 08, 2024
Debate: Were Texas Courts Right to Pause DOL Fiduciary Standard?The injunction applies to both the investment advice fiduciary standard itself and amendments to PTE 84-24.
August 08, 2024
IRS Clarifies RMD Options for Surviving Spouses Under Secure 2.0The agency's long-awaited RMD guidance answered some questions about new options for these beneficiaries.
August 08, 2024
Advisors' Biggest Problem With the SEC's Marketing RuleA new survey finds more than a third of firms are unclear on the meaning of one key term.
August 07, 2024
Escape From the QLAC: IRS Clarifies Rules on Longevity Annuity ExchangesWhat if a client buys one of the new-generation deferred income annuities and wants to replace it?