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.
DOL Issues New Independent Contractor Rule
By Melanie WaddellFSI is reviewing the rule to ensure advisors' independent contractor status is protected, Dale Brown says.
October 08, 2022
IRS Issues Ruling on 10-Year RMD RuleThe move answers "the No. 1 question" advisors and others have been asking about Secure Act RMD regulations, says tax expert Ed Slott.
October 07, 2022
Get Ready: FINRA's New CE Rules Start in JanuaryThe regulatory element will now be an annual requirement — and will likely zero in on Reg BI.
October 07, 2022
Technical Glitch Causes SEC to Reopen Comment PeriodsEleven rule proposals and one request for comment have been reopened.
October 07, 2022
Ex-Broker Found Guilty of Fraud Related to Murder of ClientKeith Todd Ashley was charged with murder while under investigation in a suspected fraud scheme.
October 06, 2022
New GOP Bill Blocks IRS From Boosting Audits of 'Middle-Class' TaxpayersThe IRS would be barred from using its $80 billion budget boost to audit taxpayers earning less than $400,000.
October 05, 2022
IRS Extends Tax Deadlines for Hurricane Ian Victims in CarolinasSimilar relief was announced last week for Ian victims in Florida.
October 05, 2022
Barclays Hit With $2M Fine Over Best Execution FailuresThe firm routed customers' orders first to its own alternative trading system unless they opted out, FINRA said.