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.
SEC Charges Lindsay Lohan, Other Celebrities With Crypto Violations
By Jeff BermanRegulators also brought charges against entrepreneur Justin Sun over the unregistered sales of tokens Tronix and BitTorrent.
March 21, 2023
Dick Bove: What Really Sparked the Bank Turmoil, and Where It's HeadedDepositors and investors alike lost confidence in U.S. banks over the past year, Bove suggested to ThinkAdvisor.
March 21, 2023
Advisor Charged With Defrauding Clients in Annuity Switching SchemeClients incurred over $640,000 in surrender charges, according to the SEC.
March 21, 2023
Ed Slott: Secure 2.0 Left Lots of Unanswered QuestionsAdvisors "will need to exercise caution with any interpretations" until Congress or the IRS provides answers, Slott says.
March 21, 2023
Yellen Says U.S. Will Intervene if Needed to Protect Smaller BanksOfficials are studying whether they can temporarily expand federal deposit insurance to cover all deposits at midsize banks.
March 20, 2023
This Is No 2008The current banking turmoil is quite different from the 2008 financial crisis, Bob Doll and others say.
March 20, 2023
House Plans First Hearing on SVB, Signature Bank FailuresReps. McHenry and Waters also told GAO Monday to begin an "immediate" investigation into the banks' collapse.
March 20, 2023
Ed Slott: New IRS Guidance Clarifies 2023 RMDsWarn clients who turn 72 this year that they might get an incorrect RMD notice, Slott advises.