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.
Credit Suisse Still Aiding Tax Evasion by Ultra-Wealthy: Senate Panel
By David VoreacosThe committee uncovered "major violations" of the $2.6 billion plea deal Credit Suisse reached with the Justice Department in 2014.
March 27, 2023
Advisors, BDs Continue to Avoid Crypto: CFA Institute StudyThe SEC also warned investors recently to use caution when investing in crypto asset securities.
March 23, 2023
Yellen Says U.S. Ready to Take More Deposit Actions If NeededBank stocks fluctuated after her prepared remarks were released. The KBW Bank Index traded down about 1.7% Thursday.
March 22, 2023
SEC Charges Lindsay Lohan, Other Celebrities With Crypto ViolationsRegulators also brought charges against entrepreneur Justin Sun over the unregistered sales of tokens Tronix and BitTorrent.
March 22, 2023
SEC Proposes Requiring BDs to File Forms ElectronicallyThe plan would require e-filing of a range of annual and quarterly forms currently filed on paper.
March 22, 2023
IRS Seeks Feedback on Tax Treatment of NFTsThe agency is seeking comments on the treatment of NFTs as collectibles.
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.