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.

Federal Regulation

It's Time for a Reg BI Crackdown at SEC: Ex-Commissioner

By Melanie Waddell
741 BDs Opt In to FINRA Home Office Inspections

July 24, 2024

741 BDs Opt In to FINRA Home Office Inspections
New RMD Regs Back Annuity-Based Stretch IRAs, Advisor Says

July 24, 2024

New RMD Regs Back Annuity-Based Stretch IRAs, Advisor Says
Trump Floated Jamie Dimon for Treasury Secretary, Then Denies It

July 23, 2024

Trump Floated Jamie Dimon for Treasury Secretary, Then Denies It
Wells Fargo Profiled Customers, Fired Banker Alleges

July 23, 2024

Wells Fargo Profiled Customers, Fired Banker Alleges
IRS Providing Tax Relief to Hurricane Beryl Victims in Texas

July 22, 2024

IRS Providing Tax Relief to Hurricane Beryl Victims in Texas
Ed Slott: Final RMD Regs Create an 'Unnecessary Complication'

July 22, 2024

Ed Slott: Final RMD Regs Create an 'Unnecessary Complication'
Kitces: 5 Industry Trends Reshaping Financial Advice

July 22, 2024

Kitces: 5 Industry Trends Reshaping Financial Advice