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.
FINRA Moves to Allow Performance Projections in Some BD Marketing
By Melanie WaddellThe proposal aligns with the SEC's marketing rule for RIAs.
November 10, 2023
13 New Tax Numbers to Know for 2024The newly released updates to brackets, estate exemptions and more reflect another year of persistent inflation.
November 10, 2023
The 2 Biggest Fights Brewing Over DOL's New Fiduciary RuleThe rollover changes are controversial, but the "single-biggest fight" will come from insurance agents, a lawyer predicts.
November 10, 2023
10 New Tax Numbers for 2024, for Life and Health ProsThe numbers for long-term care insurance premiums moved in a surprising direction.
November 09, 2023
Senators Debate Tax Avoidance Methods Used by Ultra-WealthyThe politicians did agree, though, that the current tax code invites abuse of its many grey areas.
November 09, 2023
BofA Accused of Aiding Elder Financial AbuseA woman with a Merrill account claims scammers took $690,000 from her after she visited a California branch of the bank.
November 09, 2023
SEC Bars Ex-Edward Jones Rep Who Defrauded Clients Out of $800KRonald T. Molo, accused of using client money to pay for two cars, has been sentenced to two years in prison.
November 09, 2023
IRS Announces Tax Inflation Adjustments for 2024The Internal Revenue Service just posted standard deductions and other adjustments for 60-plus 2024 tax provisions.