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.
Reg BI Remains Top Priority for 2023 Exams
By Melanie WaddellAt the SEC's National Compliance Seminar, exam chief Richard Best gave a preview of some priorities for next year.
November 14, 2022
CFP Board Seeks Comment on Enforcement Rule ChangesThe proposed revisions to the Procedural Rules address several issues raised by CFPs and others, the board said.
November 14, 2022
Gridlock Is a 'Perfectly Acceptable Scenario' for Markets: ValliereBut Secure Act 2.0 is likely to pass no matter who wins the House, says Jeff Bush of The Washington Update.
November 12, 2022
Ex-Broker Pleads Guilty To Stealing $500K From ClientsJennifer Campbell, 47, faces a maximum penalty of 20 years in prison and a $250,000 fine.
November 11, 2022
FTX Meltdown Has 'Whiffs' of Enron-Like Scandal: Summers"This is probably less about the ... rules of crypto regulation" than it is about classic financial fraud, says former Treasury Secretary Larry Summers.
November 11, 2022
Important Deadline Approaching for Clients Who Tapped 401(k)s During PandemicEnsure these clients are reaping the tax benefits afforded to them under the CARES Act.
November 11, 2022
SEC Probes FTX's Sam Bankman-Fried as His Crypto Empire CrumblesRegulators are looking into whether the crypto trading platform mishandled client funds and reviewing FTX.com's business ties.
November 08, 2022
Ex-Advisor to Pay $314K for Preparing False Tax ReturnsThe IRS filings included fake charitable contributions, unreimbursed business expenses and business losses, costing the government over $300,000 in tax revenues.