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.
New IRS Crypto Ruling Can Save Your Clients Money
By Ric EdelmanSome clients with income from crypto staking may have paid taxes prematurely.
August 08, 2023
Wells Fargo to Pay $125M in WhatsApp CrackdownIn total, 11 firms agreed to pay penalties of $289 million to the Securities and Exchange Commission.
August 07, 2023
The SEC's New AI Plan Expands Reg BI — and MoreIndustry attorneys say the plan would impose potentially burdensome conflict-of-interest requirements on BDs and advisors.
August 07, 2023
Beware, the SEC Is Coming for You!The current administration seems to believe advisors get paid too much for doing too little; the industry must push back.
August 04, 2023
The DOL Should Drop Its Fiduciary Rule ProjectThe CEO of IRI makes the case that it's time to focus on enforcing existing rules.
August 04, 2023
PNC Bank Customers Report Missing Balances, Access ProblemsSocial media users reported zero balances and the inability to use bank cards.
August 03, 2023
2023 RMD Rule Changes: 3 Common Client QuestionsChanges due to the Secure acts can result in confusion. Here's what advisors and clients should know.
August 03, 2023
Wells Fargo Customers Complain of Missing DepositsCustomers said deposits made in branches and remotely Wednesday had disappeared Thursday.