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.
'Stoner Cats' NFTs Creator Reaches $1M Settlement With SEC
By Teresa XieSome 10,000 nonfungible tokens were sold to fund a web-based series with actors Mila Kunis and Ashton Kutcher.
September 11, 2023
Wealthtender Buys Online Advisor Community AGCMembers of AGC, co-founded by Taylor Schulte and Justin Castelli, will gain access to Wealthtender's marketing tools.
September 09, 2023
New DOL Fiduciary Rule Lands at OMBThe new rule would take into account the practices of investment advisors, the Department of Labor said.
September 08, 2023
FINRA Bars Ex-Schwab Broker for Taking Clients' Social Security ChecksThe former broker gave clients his own account number instead of theirs, FINRA said.
September 08, 2023
IRS Launches New Crackdown on Wealthy Tax CheatsThe new initiative will be driven by AI and other technology to help IRS better detect tax cheating.
September 07, 2023
Looming DOL Rules Could Have 'Long-Term Ramifications,' Lawyer WarnsA DOL fiduciary rulemaking is not the only development advisors should watch, Brad Campbell says.
September 07, 2023
New Bill Would Force Vote on Acting Labor Secretary's NominationThe bill would prevent Julie Su and future nominees from serving in an "acting" capacity past 210 days.
September 06, 2023
Court's Bitcoin ETF Ruling Isn't a Slam DunkWhile the court ruled for Grayscale, it didn't order the SEC to approve a spot bitcoin ETF.