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.
Retirement Experts: Don't Let Clickbait Headlines Sink the 401(k)
By John ManganaroTo argue that the U.S. should simply do away with workplace retirement plans is absurd and irresponsible, experts say.
February 21, 2024
SEC Bars Phony Advisor Accused of 'Ponzi-Like' SchemeThe CEO, who had no securities licenses, misappropriated $1.8 million and misled investors, the SEC alleges.
February 21, 2024
Axcelus, John Hancock Top the Senate Finance Private Life RankingsRon Wyden, a critic, surveyed seven providers and collected data on the ultra-high-net-worth clients' policies.
February 21, 2024
FINRA Fines BD $75K for Email ViolationsIn one incident, a Ceros employee sent hundreds of clients' account data to their personal email, FINRA says.
February 20, 2024
In Advisory Fees, the Future Is Flat, Facet Founder Argues"If you want to help the mass affluent, you have to rethink pricing," Anders Jones tells ThinkAdvisor.
February 20, 2024
IRS Collected $500M From Wealthy Tax CheatsThe agency also wants to boost in-person assistance this filing season, Commissioner Danny Werfel said.
February 16, 2024
Trump Organization Hit With $365M Fine in Fraud TrialTrump is sure to appeal, potentially dragging out a final resolution of the case well beyond the November election.
February 16, 2024
Comments Close on IRS' Excise Tax Plan for Donor-Advised FundsThe proposed rule is intended to prevent misuse of DAFs by enforcing excise taxes on non-charitable distributions.