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.
New SEC Marketing Rule FAQ Could be 'Problematic,' Compliance Pro Says
By Melanie WaddellExperts say the directive on displaying gross and net performance doesn't align with how firms actually calculate performance.
January 13, 2023
Trump's $1.6M Tax-Fraud Hit Eclipsed by Impact of Felony ConvictionTwo Trump Organization business units were sentenced on Friday in New York after a felony conviction last month.
January 13, 2023
Secure 2.0 May Stabilize the Long-Term Care Toolbox: Howard SharfmanThe veteran wealth planner thinks Section 334 will give the insurers still in the LTCI market a reason to stay.
January 12, 2023
Tax Filing Season Starts Jan. 23: IRSApril 18 will be the filing deadline to submit 2022 tax returns for most taxpayers.
January 12, 2023
FPA Steps Up Fight for Legal Protection of 'Financial Planner' TitleThe association's president hopes financial planners can achieve recognition on par with medicine, law and accounting.
January 11, 2023
The IRS Needs Billions to Make TrillionsUnderfunding the Internal Revenue Service allows scofflaws to go unpunished and will increase the budget deficit.
January 11, 2023
Taxpayer Service Expected to Improve in 2023, IRS SaysThe IRS faces "a difficult balancing act with its current resources," Taxpayer Advocate Erin Collins tells lawmakers.
January 11, 2023
Secure 2.0 Is Here, but Expect a Slow RolloutSome of the changes mandated in the law may take years to materialize — if they ever do.