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.
Medicare Chief Is Crafting Drug-Price Negotiations
By John TozziA top Biden administration official is speaking directly with pharma executives to begin hammering out details of the new policy.
April 13, 2023
Phishing Scams on the Rise: FINRAThere are some key ways to spot these scams to protect both clients' identities and their assets, the regulatory group points out.
April 12, 2023
House Panel to Hold Hearing on DOL Indie Contractor RuleThe Labor Department plans to issue a final independent contractor rule in May.
April 12, 2023
8 Financial Managers Indicted in $72M SchemeThe defendants scammed at least 200 clients, according to prosecutors.
April 12, 2023
Don't Forget These Last-Minute Tax Tips: Advisors' AdviceThe tax filing deadline is rapidly approaching, but it's not too late to help your clients.
April 11, 2023
Don't Punish 60 Million Medicare Beneficiaries Because of Joe NamathProposed changes would harm consumers by creating confusion, frustration and delays during the enrollment process.
April 11, 2023
How Many CFP Exam Takers Passed the Latest Test?A record number of candidates sat for the most recent certification exam, according to the CFP Board.
April 10, 2023
Firm Founder Sentenced to 15 Years in Prison For FraudThe ex-Infinity Q Capital Management CIO was sentenced for his role in a mismarking scheme.