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.
Debate: Should Multimillion-Dollar 401(k)s, IRAs Be Reported to the IRS?
By Robert Bloink | William H. ByrnesOur tax experts discuss whether a proposed requirement on the wealthiest would backfire on middle-income Americans.
March 01, 2023
Senate Set to End Labor's ESG RuleThe expected move by Republicans and some Democrats is likely to be vetoed by the president.
March 01, 2023
New House Data Privacy Bill Could Limit State Insurance Regulators' AuthorityInsurance groups want changes. An electronic privacy group hates the reliance on disclosures.
February 28, 2023
Robinhood Subpoenaed by SEC Over Crypto BusinessThe probe comes as financial watchdogs take a more aggressive approach to crypto in the wake of FTX's collapse.
February 28, 2023
2 More RIAs to Pay Nearly $900,000 Over 12b-1 FeesThe SEC also charged them with best-execution failures, from which the two Republican commissioners dissented.
February 28, 2023
3 Annuity Rule Changes on IRI's New Wish ListMany IRI Blueprint provisions ended up in the Secure and Secure 2.0 acts. Now, there's more.
February 28, 2023
Supreme Court Limits Fines for Not Reporting Overseas AccountsA businessman living abroad argued that the law left unwitting taxpayers vulnerable to draconian fines.
February 28, 2023
Biden Nominates Julie Su as Labor Secretary, Replacing WalshSu would replace Marty Walsh, who is expected to become the head of the NHL players' union.