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.
Barred Broker Ordered to Pay $5.7M Over Cancer Treatment Scheme
By Jeff BermanA three-member FINRA arb panel ruled against the former broker.
November 30, 2022
BlackRock's Fink: Most Crypto Firms Will Fold"I actually believe most of the companies are not going to be around," the CEO said Wednesday during the New York Times DealBook Summit.
November 29, 2022
10 Top Annuity Bills of 2022, So FarThe one most relevant to retail advisors, the EARN Act, is still awaiting floor action.
November 29, 2022
IRS to Hike Interest Rates for Q1For individuals, the rate for overpayments and underpayments will be 7% per year, up from 6%.
November 29, 2022
SEC Bars Ex-LPL Rep Who Pleaded Guilty to Witness TamperingFINRA already barred the ex-broker, who also pleaded guilty to fraud and identity theft last year.
November 28, 2022
FINRA Bars Ex-Northwestern Mutual Rep Accused of Cheating on CFP ExamThe ex-broker allegedly solicited assistance from chat group participants who had already taken the test.
November 23, 2022
Should the DOL Limit Annuity Sales Commissions?Our two Tax Facts authors debate whether proposed regulations limiting commissions are in the best interest of clients.
November 23, 2022
4 New SEC Rules to WatchThe agency has proposed and adopted several "significant" new rules in the past few weeks, its Investment Management chief says.