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.
Ex-Edward Jones Rep Fined, Suspended for Texting Client Docs
By Jeff BermanThe former advisor was suspended for 15 months and fined $15,000 by the regulator.
June 05, 2023
SEC's New Cyber Rule Plan Needs Changes, Trade Groups SayThe update to Reg S-P would require firms to notify clients of data breaches.
June 05, 2023
Watchdog to CMS: Track Medicare Advantage Claim DenialsChristi Grimm says leaving denials out of the patient records hurts efforts to fight fraud and abuse.
June 05, 2023
SEC Sues Binance and CEO for Breaking Securities Rules"Through 13 charges, we allege that Zhao and Binance entities engaged in an extensive web of deception ... and calculated evasion of the law," said SEC Chair Gary Gensler.
June 05, 2023
IRS Makes Annuity Mortality Table Update, With a SmileThe agency will allow flexibility on timing, and decimal places.
June 01, 2023
Bernie Sanders Prods DOL to Get Moving on Secure 2.0The senator urged the acting Labor secretary, Julie Su, to implement six provisions of the retirement law.
June 01, 2023
Why You Shouldn't Follow the Lazy Compliance CrowdWhen regulators visit, they don't care what other firms are doing; they're focused on examining you and your firm's conduct.
June 01, 2023
What's at Stake for Social Security as Debt Deal Moves to SenateExperts fear reduced resources for the IRS will have unintended consequences.