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.
Social Security ‘Fairness’ Doesn’t Come for Free
By Melanie WaddellThe new law will cost almost $200 billion over a decade and hasten insolvency, Olivia Mitchell says.
January 07, 2025
TD Mulling Fate of Schwab Stake in Review, Incoming CEO SaysThe review stems from the Canadian bank's U.S. money-laundering scandal.
January 07, 2025
Why the AMT Could Come Roaring BackMore families and small businesses will have to do taxes twice if the 2017 cuts expire, a GOP congressman warns.
January 03, 2025
Whipsaw BOI Rulings Leave Business Owners DizzyMost American business owners were to become subject to a Jan. 1 deadline to submit beneficial ownership information reports.
January 03, 2025
JP Morgan Loses $39.7M Arbitration Against Barred BrokerThe financial services firm claimed that Edward Turley, a former advisor, "unjustly enriched himself by brazenly lying."
January 03, 2025
Trump Taps Keis, Schwab for Key Treasury RolesLobbyist Ken Kies will head up tax policy; Samantha Schwab will be deputy chief of staff.
January 02, 2025
RIA to Pay $115K Fine Over Custody Rule ViolationsDriftwood Advisors failed to timely distribute audited statements to investors in pooled vehicles it advised, the SEC states.
January 02, 2025
WSJ Goes After Insurers' Medicare Advantage StrategyReporters looked into allegations that plans make patients look sicker than they are to boost payments.