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.
42 Dropped Cases, 48 Lifted Bars, One Big 'Disaster': SEC Roundup
By Nick Morgan and Tom ZaccaroA breach in the SEC's in-house judicial system highlights a major underlying problem, two attorneys say.
June 28, 2023
Wells Fargo Investor Seeks Files in Probe Over Fake Interviews for Diverse CandidatesA Florida pension fund is demanding files about a possible criminal probe into whether the bank violated federal law.
June 27, 2023
IRS to Pilot Free Tax Filing Tool in 2024Sen. Warren and other Democrats are applauding the IRS announcing it is "taking steps to begin a pilot project for the 2024 filing season."
June 26, 2023
Is the SEC's War on Crypto 'Regulation by Enforcement'?I asked the SEC's crypto enforcement chief to answer that question, and more.
June 26, 2023
IRS to Phase Out Pandemic-Period HSA RulesNo-deductible coverage for COVID-19 tests and treatments must end by Dec. 31, 2024.
June 23, 2023
What the RIA Industry Looks Like Now, in 10 ChartsTotal AUM declined for the first time since 2008.
June 22, 2023
DOL Rollover Review Deadline Looms; Here's Where Firms StandERISA attorney Fred Reish talks about the upcoming deadline and what a new fiduciary rule may say.
June 22, 2023
Spending Bill Kills SEC's New Custody Rule, Reg Best ExecutionThe bill bars the SEC from using funds to finalize or implement these two rules and others.