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.

New Final IRS Regs Affect Where Annuities Fit in RMDs

July 19, 2024

New Final IRS Regs Affect Where Annuities Fit in RMDs
SEC Launches Sweep of RIAs' T+1 Compliance

July 19, 2024

SEC Launches Sweep of RIAs' T+1 Compliance
IRS Releases Final RMD Regs on 10-Year Rule

July 19, 2024

IRS Releases Final RMD Regs on 10-Year Rule
Morgan Stanley Rep Violated Reg BI With ETF Sales: FINRA

July 18, 2024

Morgan Stanley Rep Violated Reg BI With ETF Sales: FINRA
Ed Slott: Why a Lump Sum Beats an IRA Rollover for Some Clients

July 18, 2024

Ed Slott: Why a Lump Sum Beats an IRA Rollover for Some Clients
FINRA Reminds BDs of Their Duties When Using AI

July 17, 2024

FINRA Reminds BDs of Their Duties When Using AI
Off-Channel Communications Now Advisors' Top Compliance Concern

July 16, 2024

Off-Channel Communications Now Advisors' Top Compliance Concern