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.
Summertime Phishing Schemes Are Heating Up, IRS Warns
By Melanie WaddellThe IRS is seeing a rise in scams, most notably promises related to a third round of Economic Impact Payments.
July 20, 2023
DOL Rule on Abandoned Retirement Plans Arrives at OMBThe rule will likely make it easier to wind down pension plans when the plan fiduciary dies or can't be found.
July 20, 2023
Ponzi Schemer Who Got Trump Clemency Charged in New Fraud CaseEliyahu "Eli" Weinstein and four others were charged with defrauding more than 150 investors of $35 million.
July 20, 2023
IRS Faces Uproar Over Draft Regulations for Client-Owned InsurersThe IRS thinks many are scams. Critics say its proposed response is unworkable.
July 19, 2023
SEC Would Add 83 Examiners With Budget BoostThe agency also plans to move the SEC headquarters in Washington to another building, Chair Gensler tells lawmakers.
July 19, 2023
IRS Collection Notices Send Taxpayers in Disaster Areas ScramblingThe IRS buried a disclaimer on page 4 of its notice that it didn't apply to those in disaster areas.
July 18, 2023
CEO of ETF Managers Group Resigns Amid SEC Probe Into Cannabis FundThe investigation concerns the "alleged non-disclosure of conflicts of interest" by Samuel Masucci and the issuer of thematic ETFs.
July 17, 2023
JPMorgan Broker Suspended for Not Disclosing Kidnapping ChargesThe broker was charged with kidnapping a child and threatening a crime resulting in death or bodily injury.