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.
Ameriprise Braces for $50M SEC Fine Over Electronic Messages
By Melanie WaddellAmeriprise states in its annual report that it has reached an agreement in principle with the SEC staff.
February 29, 2024
IRS Announces New Crackdown on High Earners Who Failed to File TaxesThe agency believes hundreds of millions of dollars of unpaid taxes are involved in these cases.
February 29, 2024
Senators Introduce E-Delivery BillThe bill requires the SEC to allow financial firms to deliver their documents in digital format.
February 28, 2024
SEC Investment Management Director Steps DownWilliam Birdthistle will be replaced by Natasha Vij Greiner, a deputy director in the Division of Examinations.
February 28, 2024
Lawsuit: Mariner, American Century Made Secret 'No Poach' DealA gentleman's agreement "chained workers to their employers and suppressed any competition," the lawsuit contends.
February 28, 2024
Two Execs Join IRS as Crypto AdvisorsThe private-sector experts will help the agency boost enforcement on cryptocurrency and other digital assets.
February 27, 2024
Senate Panel Advances Su Nomination as Labor SecretaryThe acting DOL leader now awaits a floor vote at the discretion of the Senate majority leader.
February 26, 2024
Sanders to Hold Closed-Door Vote on Su as Labor SecretaryJulie Su has been the acting Labor secretary since March 2023.