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.
House Votes to Strip IRS Funds Intended to Catch Tax Cheats
By Laura DavisonThe provisions call for $80 billion to be spent to boost auditing, customer service and computer systems.
January 10, 2023
4 Top FINRA Exam Priorities in 2023A new FINRA report alerts BDs on areas where their compliance efforts might need a bit of beefing up.
January 09, 2023
Ex-Broker to Fork Up $3M Over Fintech FraudThe SEC says Paul Hess and other defendants tricked investors into buying unregistered interests in shell companies.
January 09, 2023
NASAA Plans 2023 Push for Bad Actors DatabaseState securities regulators want Congress to pass a bill requiring the creation of a fraudster database.
January 06, 2023
Jeff Levine Answers Secure 2.0 Tax Questions From AdvisorsThe CPA and financial planner addressed Roth contributions, RMDs and 529 plan rollovers.
January 06, 2023
5 Keys to a Texting Policy That Will Stand Up to SEC ScrutinyThe SEC is aggressively looking into texting by financial professionals. Does your firm have appropriate policies and procedures?
January 06, 2023
7 Big Rules on the SEC's 2023 To-Do ListAdvisor custody regs are a priority this year, along with a few controversial rules.
January 05, 2023
Debate: Will the 'Rothification' of Catch-Up Contributions Benefit Taxpayers?Our Tax Facts experts debate whether this Secure Act 2.0 provision will help savers or just confuse them.