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.
IRS Seeks Feedback on Saver's Match Under Secure 2.0
By Melanie WaddellThe agency and the Treasury Department want comments on all aspects of the retirement account contributions.
September 05, 2024
SEC Fines RIA for Custody Rule ViolationsClearPath failed to timely distribute annual audited financial statements to investors in certain private funds, the SEC said.
September 05, 2024
California DOJ Fines Robinhood $3.9M in First-Ever Crypto Enforcement ActionThe settlement marks the first public enforcement action by the state DOJ against a crypto company.
September 04, 2024
SEC Accuses Firm of Marketing Rule Violations, Failing to RegisterFlorida-based Black Dragon, which didn't admit wrongdoing, posted misleading performance data on its website, the agency says.
September 04, 2024
What Would Happen if a Big Insurer Failed?The effect of a major failure on state guaranty funds is not clear, according to a Fed economist.
September 04, 2024
Trump Tax Cuts Would Cost More Than Almost All Federal Agencies"Congress is not going to pass a $10 trillion deficit-financed tax cut," said a senior fellow with the American Enterprise Institute.
September 04, 2024
SEC Expands Texting Crackdown to Big Ratings AgenciesMoody's, Fitch and four other firms agreed to pay combined penalties of more than $49 million over off-channel communications.
September 03, 2024
Childfree Planning Turns Traditional Advice on Its HeadPeople without kids are an "underserved, underrepresented and sometimes mistreated population," advisor Jay Zigmont says.