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.
Ex-BlackRock Portfolio Manager Asked Film Company for Favors: SEC
By Melanie WaddellHe didn't disclose that a film distributor in which his fund invested helped his daughter land an acting role.
January 03, 2023
FINRA Files to Provide 'Greater Transparency' to Arbitrator Selection ProcessThe proposal follows a legal skirmish in which a decision favoring Wells Fargo was thrown out in court.
January 03, 2023
6 Takeaways From Trump's Tax ReturnsThe 2015-2020 filings span hundreds of pages to account for domestic and foreign assets, credits, deductions, depreciation and more.
December 30, 2022
FINRA Fines, Suspends Ex-Securities America Rep Who Impersonated Dead ClientThe ex-broker pretended to be her deceased relative, a firm client, in a phone call, FINRA says.
December 30, 2022
Trump Tax Returns Give First Glimpse at What He Fought to HideThe documents shed light on his earnings and the taxes he paid, including one year where he paid nothing in federal income tax.
December 30, 2022
Biden Signs $1.7T Spending Bill, Brings Secure 2.0 to LifeThe bill includes many provisions related to RMDs, retirement plan administration and annuities.
December 29, 2022
FINRA Fines, Suspends Broker Who Hid Felony ChargesThe broker pleaded guilty to attempted vehicular assault and waited 10 months too long to report it, FINRA says.
December 29, 2022
IRS Tackles Inflation Reduction Act Share Buyback RulesThe agency is also asking about how to implement IRA corporate alternative minimum tax rules.