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.
Sam Bankman-Fried Arrested in Bahamas as U.S. Files FTX Charges
By Katanga Johnson and Ava Benny-MorrisonThe the disgraced co-founder of the failed crypto exchange is in custody pending an extradition process.
December 08, 2022
Is SEC Regulation Best Execution a Good Idea? Experts Weigh InFINRA's best execution rule was written "decades ago" and is "wildly outdated," says Tyler Gellasch of the Healthy Markets Association.
December 07, 2022
10 'Nerdy' Year-End Planning Tips for 2022: Jeff LevineKitces.com's chief planning nerd recently presented some powerful year-end tax planning opportunities.
December 07, 2022
SEC to Propose New Regulation Best ExecutionThe rule, which affects client trades, will be considered at an open meeting next week.
December 07, 2022
IRS Highlights Shrinking Tax Credits, Third-Party Payment Changes for 2023Taxpayers who took certain credits in 2021 could get much smaller refunds in 2022, the IRS says.
December 07, 2022
Senate Passes RILA Annuity BillThe bill would direct the SEC to create a new registration form to replace the "largely inapplicable forms" currently used.
December 06, 2022
Advisor Group BDs Hit With $1.3M FINRA PenaltyThe firm's BDs "negligently failed" to tell investors that GPB Capital didn't "timely make" required SEC filings tied to private placements.
December 06, 2022
SEC Hits Firm, CEO for Failure to File Form CRS, No Compliance PoliciesTwo Point Capital Management adopted as its written compliance policies, without any modification, a handbook published by a professional trade group.