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.
Social Security's Improper Payment Exchange Is Overdue, Lawmakers Say
By Melanie WaddellThe House Ways and Means Committee chairman says the SSA is already seven years late on implementing the program.
July 28, 2023
Considering NFTs? Think Twice Before Using IRA DollarsThe IRS may tax NFTs as collectibles, which could have serious consequences for investors holding them in IRAs.
July 28, 2023
State Lawmaker Group Attacks DOL Fiduciary Rule RevivalCarl Anderson, NCOIL's life chair, said a return of the 2016 rule would hurt state insurance regulation.
July 28, 2023
IRS Names Strategy Chief to Spearhead Use of $80B Funding BoostDavid Padrino will focus on short- and long-term improvements under the agency's new operating plan.
July 27, 2023
Twin Advisors Indicted on Fraud ChargesAdam and Daniel Kaplan are accused of bilking at least 60 clients out of at least $5 million.
July 27, 2023
$35M Ponzi Scheme Targeted Church Members: SECBrent Seaman and his marketing materials touted some "25 years of running successful businesses and 'an assignment from a higher power,'" the SEC complaint states.
July 27, 2023
Don't Forget This CE Requirement, FINRA WarnsRegistered representatives need to complete the Regulatory Element course this year or face "CE inactive" status.
July 27, 2023
7 Annuity Exclusion Ratio Basics to KnowHow clients apply the rules depends on the types of annuities they own.