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.
Expect SEC Reg BI Actions to Heat Up: Law Firm
By Melanie WaddellDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 25, 2024
In Wealthy Families, Inheritance Distress Goes Beyond MoneyA common conflict: Who gets to keep sentimental objects and collectibles? What if no one wants them?
June 25, 2024
Labor Secretary Considers Rewrite of Pension Risk Transfer RulesJulie Su, the acting DOL head, told Congress she's looking at issues such as private equity ownership and reinsurance.
June 24, 2024
Two Social Security Claiming Case Studies, One ConclusionWhile it's not true in every situation, the math shows that many people should wait to collect benefits.
June 24, 2024
Ex-LPL Rep Suspended for Allegedly Sending Client Data to WifeThe broker then forwarded the data to a contact at LPL, his prospective employer at the time, FINRA says.
June 24, 2024
Eye-Watering Texting Fines Need Transparency: SEC RoundupThe American Securities Association's CEO talks about why the group is suing the SEC.
June 21, 2024
What the RIA Industry Looks Like Now, in 4 ChartsThe number of RIAs continues to grow as well as their AUM, an IAA and COMPLY report finds.
June 21, 2024
Fed Faults Living Wills of BofA, Citi, Goldman and JPMorganFour banks must improve their blueprints for a hypothetical wind-down after regulators find issues in their plans.