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.

2 Big IRA Rollover Mistakes to Avoid: Ed Slott

August 01, 2024

2 Big IRA Rollover Mistakes to Avoid: Ed Slott
BD to Pay $1.5M Over Excessive Trading by Reps: FINRA

August 01, 2024

BD to Pay $1.5M Over Excessive Trading by Reps: FINRA
Pershing Hit With $1.4M Fine Over Bad Interest Rate Data

July 31, 2024

Pershing Hit With $1.4M Fine Over Bad Interest Rate Data
Firm Violated Reg BI With Risky Options Strategy: SEC

July 31, 2024

Firm Violated Reg BI With Risky Options Strategy: SEC
Ameriprise and Wells Fargo Sued Over Low Interest on Client Cash

July 30, 2024

Ameriprise and Wells Fargo Sued Over Low Interest on Client Cash
What the New Emergency Retirement-Distribution Draft Guidance Means for Annuities

July 30, 2024

What the New Emergency Retirement-Distribution Draft Guidance Means for Annuities
SEC Hits Firm With $85K Reg BI Fine

July 29, 2024

SEC Hits Firm With $85K Reg BI Fine