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.
IRS Highlights Shrinking Tax Credits, Third-Party Payment Changes for 2023
By Melanie WaddellTaxpayers who took certain credits in 2021 could get much smaller refunds in 2022, the IRS says.
December 06, 2022
SEC Hits Firm, CEO for Failure to File Form CRS, No Compliance PoliciesTwo Point Capital Management adopted as its written compliance policies, without any modification, a handbook published by a professional trade group.
December 05, 2022
10 Must-Dos for CFPs Who Advise Clients on CryptoThe CFP Board has released guidelines for advisors who counsel clients on crypto and related assets.
December 05, 2022
Quiz: Do You Know These Annuity Tax Facts?Only the tax-savviest can ace this test, but all advisors can benefit from the refresher.
December 05, 2022
SEC Risk Alert Highlights Firms' Identity Theft FailuresThe agency found violations that could leave customers vulnerable to identity theft and financial loss.
December 02, 2022
Ex-LPL Rep Charged With Stealing $1.3M From Client With DementiaBradley Goodbred was arrested and charged with 23 felonies.
December 02, 2022
4 Retirement Planning Moves That Can Yield Big Tax SavingsMany investors underestimate the impact their retirement account withdrawal decisions have on their wealth, Ritholtz's William Sweet says.
December 02, 2022
Advisors Could 'Skirt the Rules' Under FINRA Home Office Plan: PIABAPIABA is again asking the SEC to reject FINRA's proposal to home offices as non-branch locations.