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.
Why Wealth Taxes Have Always Been a Terrible Idea
By Allison SchragerA 1% or 2% wealth tax may sound small, but it's actually very large compared with current tax rates.
February 01, 2023
GAO Digs Into Medicare Advantage Plans' Supplemental Benefits OfferingsThe majority of plans offer some dental and vision benefits, and some have added a smidge of home care.
January 31, 2023
9 Ways Advisors Can Drive and Close More Leads in 2023Samantha Russell and Susan Theder of FMG Suite explain how to kickstart your lead generation.
January 31, 2023
Investors Burned in NYSE Trading Chaos Demand CompensationOnce the NYSE determines how much it has to cover the claims, the amount will be divided proportionally, according to sources with knowledge of the matter.
January 31, 2023
Feds to Cut Medicare Advantage Plan Pay Over Health Score CreepFederal clawbacks of what CMS believes to be excess payments could start at $13 million this year and rise to $479 million in 2025.
January 31, 2023
'The Fish Rots From the Head': Why Fixing Wells Fargo's Culture Is Taking So LongAn investigation of the fake-account scandal found that the legal department failed to grasp the cultural meltdown.
January 30, 2023
House Passes Financial Exploitation Prevention ActThe bill, introduced by Rep. Ann Wagner, is aimed at protecting older investors.
January 30, 2023
Will 2023 Finally Deliver Fiduciary Clarity? CFPs Not Getting Hopes UpWidespread investor confusion about conflict-of-interest issues is a major challenge for advisors, Maura Mallaney says.