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.
More Reg BI Cases in the Pipeline, FINRA Chief Warns
By Melanie WaddellFINRA CEO Robert Cook urged firms to beef up their Reg BI compliance.
November 02, 2022
SEC Expected to Be 'Heavy-Handed' With Marketing Rule EnforcementSimply continuing to avoid testimonials carries its own risks, Bill Simpson of Hearsay Systems tells ThinkAdvisor.
November 02, 2022
Vanguard to Test Giving Retail Investors More Voting PowerThe fund giant is planning a trial next year to give clients more say over how their shares are voted at corporate meetings.
November 02, 2022
15 States Where The Most Estate Taxes Were Paid in 2021American taxpayers paid $18.4 billion in estate taxes after deductions in tax year 2021, says the IRS.
November 01, 2022
Graying Brokerage Industry Prompts Need for Succession Plans: FINRAA new regulatory notice encourages registered reps to have a succession plan in place.
October 31, 2022
Felon Who Ran Ponzi From Fraternity House Is Charged With Defrauding BDsSyed Arham Arbab allegedly conducted the "freeriding" scheme just before starting a five-year sentence for the Ponzi scheme.
October 31, 2022
SEC Reveals More Deceptive Firms, Fake RegulatorsThe updated PAUSE list includes 35 soliciting entities, four impersonators of genuine firms and four bogus regulators.
October 31, 2022
Got Crushed in the Market? Harvest Losses to Lower TaxesIt's been a rocky year in the markets for investors, but smart moves now can make their taxes less painful in April.