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.
IRS Announces Interest Rates for Q2
By Melanie WaddellInterest rates will remain the same, according to the IRS.
February 10, 2023
Ex-Broker Convicted of Aiding ISISRuslan Maratovich Asainov left financial services, traveled to Syria and became a sniper, according to the DOJ.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
Calls Grow for IRS to Address Secure 2.0 Error Threatening Catch-Up ContributionsRetirement industry groups say the IRS should issue temporary clarifying guidance as Congress might not act quickly enough.
February 09, 2023
Vanguard's One-of-a-Kind Fund Design Is About to Get Some CompetitionAnother asset manager makes a move as Vanguard's patent on an important ETF innovation is set to expire.
February 09, 2023
12 Federal Budget Cut Ideas That Could Hit Retirement Savers HardLawmakers could use some of these items to offset the cost of spending and tax break proposals.
February 09, 2023
SEC to Consider RIA Custody Rule Changes Next WeekThe agency will also mull changes to the investment advisor recordkeeping rule and to Form ADV.