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.
FTX Collapse Could Wake Up Washington on Crypto Regs: SEC's Peirce
By Ric Edelman"I'm hoping these events can be a catalyst for us to get to work," the commissioner tells Ric Edelman.
December 15, 2022
Massachusetts Adopts Annuity Sales RegulationsSupporters of the Regulation Best Interest-based approach see 37 actual or pending approvals.
December 14, 2022
Edward Jones Fined $1.1M Over Phone RecordsThe firm failed to produce complete and accurate records in connection with 10 investigations, FINRA alleged.
December 14, 2022
SEC Proposes New Best-Execution Rule, Draws CriticismInvestor advocate Tyler Gellasch called the proposal "a huge disappointment."
December 14, 2022
Quiz: Do You Know These Charitable Giving Tax Facts?Do you know the rules when it comes to tax benefits and deductions for charitable giving?
December 14, 2022
Some Clients Could Get ICHRA Cash for CoverageIn New Jersey, about 23% of employers who have heard of ICHRAs have them or want them.
December 14, 2022
SEC Charges 8 in $100M 'FinTwit' Stock SchemeAccording to the complaint, the defendants posed as expert traders to amass and manipulate "legions of followers on social media."
December 13, 2022
CFP Board to Conduct First-Ever Review of Competency StandardsThe review will address CE credit for pro bono service, CE requirements and the experience requirement.