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.
Retirement Is a DOL Priority: Labor Secretary
By Melanie WaddellLabor Secretary Marty Walsh called lack of access to retirement plans a "crisis" and indicated more crypto regs could be coming.
November 29, 2022
IRS to Hike Interest Rates for Q1For individuals, the rate for overpayments and underpayments will be 7% per year, up from 6%.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 28, 2022
FINRA Bars Ex-Northwestern Mutual Rep Accused of Cheating on CFP ExamThe ex-broker allegedly solicited assistance from chat group participants who had already taken the test.
November 23, 2022
Should the DOL Limit Annuity Sales Commissions?Our two Tax Facts authors debate whether proposed regulations limiting commissions are in the best interest of clients.
November 23, 2022
4 New SEC Rules to WatchThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.
November 23, 2022
From Tom Brady to Shaq, FTX's Celebrity Promoters May Be On the Hook for DamagesThe stars' wealth makes them a juicy target for investors looking to recover some losses from the bankrupt cryptocurrency exchange.
November 23, 2022
Goldman Sachs to Pay $4M SEC Penalty in ESG Fund CaseRegulators says the firm "had several policies and procedures failures" involving ESG research used to pick and track stock holdings.