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.
FINRA Developing Machine-Readable Rulebook
By Melanie WaddellFINRA is seeking comment on the rulebook initiative, which offers quick access to 40 commonly searched rules.
October 21, 2022
5 Top Lessons From the WhatsApp Crackdown: Law FirmThe SEC and FINRA are still watching, so firms should revisit their policies now, says attorney Issa Hanna.
October 19, 2022
Cetera to Pay $9M Over 12b-1 Fee ViolationsCetera Advisors used shares with 12b-1 fees when it knew clients were eligible for lower-cost shares.
October 19, 2022
13 New Tax Numbers to Know for 2023The IRS' inflation adjustments affect tax brackets, estate and gift taxes, and health insurance-related deductions, among others.
October 18, 2022
SEC Gets 9 Final Judgments in Scheme Bilking Pro Athletes, AdvisorsThree of the defendants have been sentenced to prison.
October 18, 2022
IRS Announces Tax Inflation Adjustments for 2023The agency has adjusted thresholds for tax brackets, the AMT, the estate tax and other provisions.
October 18, 2022
El-Erian: It's Getting Harder to Justify Independent FedThe economist points to four "big operational errors" in its recent performance and a lack of accountability.
October 14, 2022
Fed Exec Reveals Trading Violations; Powell Opens ProbeRaphael Bostic's revelations start a new phase of an embarrassing and damaging Federal Reserve ethics scandal that erupted last year.