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.
Supreme Court Leaves Door Open for Wealth Tax
By Greg StohrIn a closely watched case, the justices upheld a tax on undistributed foreign business income.
June 17, 2024
For Advisors, an Untapped Opportunity in Donor-Advised FundsDemand for DAFs and other giving vehicles is rising among corporations and VIP clients, United Charitable's CEO says.
June 17, 2024
Principal Ordered to Pay $7.3M to Medical Research FoundationThe foundation says the company let an advisor recommend unsuitable life and annuity products.
June 17, 2024
SEC's Crypto Enforcement Chief Steps DownHirsch made the announcement early Monday morning in a LinkedIn post.
June 14, 2024
Let's Stop Wishful Thinking About Interest Rates: Skip SchweissWhen it comes to ultralow rates, "be careful what you wish for," the Sierra Investment Management CEO says.
June 14, 2024
SEC Hits RIA With $100K Marketing Rule FineTwenty Acre Capital misled investors by presenting performance returns experienced by a single investor, the SEC says.
June 14, 2024
Court Adopts SEC's Expansive View of 'Dealer': SEC RoundupSEC's rationale threatens to ensnare unsuspecting private funds, family offices and private investment in public equity (PIPE) investors.
June 14, 2024
Kitces: Salespeople Should Have Gotten a Break in DOL Fiduciary Rule"You can't regulate them out of existence," but they shouldn't be giving advice, the XYPN co-founder says.