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.
Edward Jones Files to Launch a Bank
By Melanie WaddellEdward Jones Bank would operate independently, with its main office in the Salt Lake City area.
April 09, 2025
NASAA Votes to Restrict BDs' Use of 'Adviser,' 'Advisor'The new model rule prohibits reps from using these titles unless they are also registered as advisors.
April 09, 2025
SEC Weighs Raising AUM Threshold for Advisor RegistrationThe move makes sense but could create headaches for midsize advisors in some states, compliance pros say.
April 08, 2025
Fired Edward Jones Broker Charged With Fraud, Money Laundering in Alleged Theft From WidowJohn Winslow is accused of taking over $920,000 from a client and trading gold coins to conceal it.
April 08, 2025
AARP Demands Answers on Social Security Website Outages, Call Hang-UpsThe site is "crashing repeatedly" as field offices are overwhelmed with worried seniors, the retiree group says.
April 07, 2025
Why the Best Tariff Trade Might Be a Roth ConversionClients with tech stocks in their IRAs have an interesting opportunity now, Carson Group’s Debra Taylor says.
April 03, 2025
Senate Approves Dr. Oz as Medicare Agency Head by 53-45 VoteThe former medical talk show host has suggested that the Medicare Advantage program needs to cut marketing costs.
April 03, 2025
How to Help Clients Prepare for a Possible Estate Tax Exemption SunsetAdvisors and clients should prepare for the possibility that lawmakers' effort to renew the 2017 threshold falls apart.