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.
Sen. Wyden Urges CMS to Enact Medicare Advantage Marketing Changes
By Dinah Wisenberg BrinThe agency recently made proposals to crack down on deceptive marketing and improve provider directories.
February 13, 2023
FINRA Fines Long Island BD Over Reg BIThis is FINRA's third Reg BI-related enforcement action this year.
February 13, 2023
DOL Wants Feedback on Retirement Plan Loan FixesSecure 2.0 widens "the range of operational failures for which self-correction is available," attorneys say.
February 13, 2023
IRS Announces Interest Rates for Q2Interest rates will remain the same, according to the IRS.
February 13, 2023
How Taxation of Life Settlement Proceeds Works NowThe size of the tax bill depends partly on the health status of the client.
February 10, 2023
Advisor Texting, DOL Fiduciary Rule Are Hot-Button Issues This YearLabor will likely release a fiduciary rule before summer ends, attorney Sara Crovitz tells ThinkAdvisor.
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.