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.
SEC Charges 9 More Firms With Marketing Rule Violations
By Melanie WaddellThe SEC fined the RIAs for advertising hypothetical performance on their websites without following proper procedures.
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.
September 06, 2023
How the SEC Picks Advisors to ExamineA new Risk Alert lays out criteria and describes the types of information the agency will request in exams.
September 06, 2023
SEC Adopts Revised CAT Funding ModelSIFMA said that it "finds the CAT funding model created and designed by the SROs to be deeply flawed."