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.
NAIC to Spotlight Annuity Sales Standard Update Gray Zones
By Allison BellThe list of states without updates includes Florida and Indiana as well as California and Oregon.
December 13, 2022
Here Are the Wildest Parts of Bankman-Fried's SEC AllegationsThe FTX co-founder orchestrated a massive, years-long fraud, the SEC says.
December 12, 2022
Sam Bankman-Fried Arrested in Bahamas as U.S. Files FTX ChargesThe the disgraced co-founder of the failed crypto exchange is in custody pending an extradition process.
December 12, 2022
IRS: Heed These RMD Deadlines or Face PenaltiesThe agency reminds people over 72 and inherited IRA beneficiaries of their obligations.
December 08, 2022
7 Secure Act 2.0 Provisions That Are Popular With AdvisorsA recent advisor survey by LPL found broad support for the retirement legislation.
December 08, 2022
Is SEC Regulation Best Execution a Good Idea? Experts Weigh InFINRA's best execution rule was written "decades ago" and is "wildly outdated," says Tyler Gellasch of the Healthy Markets Association.
December 07, 2022
10 'Nerdy' Year-End Planning Tips for 2022: Jeff LevineKitces.com's chief planning nerd recently presented some powerful year-end tax planning opportunities.
December 07, 2022
SEC to Propose New Regulation Best ExecutionThe rule, which affects client trades, will be considered at an open meeting next week.