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.
House to Vote on Accredited Investor Definition Bill This Week
By Melanie WaddellThe bill's sponsor says limiting private investments to people meeting certain financial thresholds is an outdated practice.
May 25, 2023
Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming ClientsThe former broker took nearly $800,000 from clients, prosecutors said.
May 25, 2023
Florida Adopts Reg BI-Friendly Annuity Sales Rule UpdateAdvocates fear a showdown with the SEC if more states don't step up soon to regulate fixed annuities.
May 25, 2023
New Bipartisan Bill Could Help Tax Extension FilersClients could stay on good terms with the IRS by paying 125% of what they paid the previous year.
May 24, 2023
Couple Bilked in $29M Ponzi Scheme Sues Advisory FirmThe firm didn't supervise an advisor who paid for planes and mistresses with client money, a lawyer says.
May 23, 2023
Affluent Investors Are Wary of Banks: CerulliMass affluent investors tend to use banks as their primary financial service provider until their 40s, Cerulli finds.
May 23, 2023
Ed Slott: The IRA Conversation Advisors and Clients Must Have NowSlott talks to ThinkAdvisor about upcoming tax changes, Social Security's future and how to handle missed RMDs.
May 23, 2023
FINRA Fines 5 Firms for Reg BI, Form CRS ViolationsSome firms failed to file a timely Form CRS while others failed to acknowledge prior disciplinary history.