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.
Health Ministry Plans Begin to Set Their Own Rules
By Allison BellThey're free from ACA requirements, but the GAO found they want to curb bad practices.
August 01, 2023
ETF Managers Group, Founder Hit With $4.4M SEC PenaltySamuel Masucci and his firms entered into "a prohibited joint transaction" to obtain $20 million in rescue financing to avoid a possible bankruptcy.
August 01, 2023
FINRA Posts Life Settlement Guide for ConsumersThe organization warns of concerns but says policy sales might make sense for some.
July 31, 2023
BDs' Anti-Money Laundering Policies Fall Short: SECSome broker-dealers "did not appear to devote sufficient resources, including staffing, to AML compliance," the regulator said.
July 31, 2023
Social Security's Improper Payment Exchange Is Overdue, Lawmakers SayThe House Ways and Means Committee chairman says the SSA is already seven years late on implementing the program.
July 31, 2023
Vanguard Speaks Out Against New Approach to Financial RiskThe fund giant says herding different kinds of financial firms onto the same safe regulatory path could be dangerous.
July 28, 2023
Judge Throws Out RIA's Poaching Suit Against CambridgeColonial River Wealth Advisors alleged the BD helped an advisor poach back her clients after selling the firm.
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.