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 Expands Crackdown on Bogus Employee Retention Credit Claims
By John ManganaroThe agency is sending an initial round of more than 20,000 letters notifying taxpayers of disallowed ERC claims.
December 05, 2023
Tax Quiz: How Much Do You Really Know About Capital Gains?Few areas of the tax code generate more questions, or controversy, than the treatment of capital gains.
December 04, 2023
A Closer Look at the DOL's Proposed Rollover RuleThe updates would maintain a commitment to ensuring that fiduciary advice is provided in retirement investors' best interest.
December 04, 2023
Ex-Wells Fargo CEO Sloan Sues Over $34M in Withheld PaySloan, 63, took over Wells Fargo weeks after a scandal involving fake customer accounts erupted at the firm.
December 04, 2023
Billionaire Tax Rests on Disputed $14,729 RefundThe Supreme Court will consider whether Congress can put a levy on stock holdings, real estate and other wealth.
December 04, 2023
Wealth.com Names Jamie Hopkins as Strategic AdvisorThe estate planning firm says Hopkins' appointment reflects its efforts to meet the growing needs of advisors and clients.
December 01, 2023
The IRS Delayed Its Payment Reporting Rule Change Again. Is That Good for Taxpayers?The rule for payments via Venmo and other apps won't take full effect till 2025 at the earliest.
December 01, 2023
SEC's Use of In-House Judges Cast in Doubt by Supreme CourtThe justices suggested that fraud defendants have a constitutional right to a jury trial.