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.
10 Tax Questions Self-Employed Clients Might Ask
By Emily HolbrookWhether your client's business is a side hustle or a main gig, they face some complicated tax rules.
December 20, 2022
Wells Fargo to Pay $3.7B for Mistreating ClientsThe action includes a $1.7 billion fine tied to issues with the bank's car loans, mortgages and deposit accounts.
December 19, 2022
New Bill Would Rein In SEC RulemakingRep. Wagner, R-Mo., says that the bill makes sure "the SEC doesn't arbitrarily implement unnecessary and complex rules."
December 19, 2022
RIA Fears DOL Independent Contractor Proposal Will Hurt BusinessOther financial services commenters disagreed about how easily financial professionals could qualify as being self-employed.
December 16, 2022
New Bill Requires SEC to Write E-Delivery RuleFinancial services trade groups cheered the bill.
December 16, 2022
Medicare Advantage Managers Propose 2024 Ban on Lead SalesCMS also wants to create new agent supervision and marketing material review requirements.
December 16, 2022
How Enforcement Will Play Out in 2023: SEC RoundupLook for "more unique and out-of-the box applications of the insider trading theory," says Tom Zaccaro.
December 16, 2022
11 Big Advisor Regs That Moved Forward in 2022The SEC, FINRA and DOL have proposed or finalized several rules this year.