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.
From Tom Brady to Shaq, FTX's Celebrity Promoters May Be On the Hook for Damages
By Zijia Song and Joe SchneiderThe stars' wealth makes them a juicy target for investors looking to recover some losses from the bankrupt cryptocurrency exchange.
November 21, 2022
Quiz: Do You Know These RMD Tax Facts?Tax-savvy advisors may ace the test, but others may find they learn a thing or two about this complex and evolving topic.
November 19, 2022
Help Clients Avoid the IRS 'Dirty Dozen'The end of the year is a great time to warn people about major tax traps.
November 18, 2022
SEC Orders Public Proceedings Over 'Misleading' Crypto OfferingsThe SEC is considering whether to suspend the registration of American CryptoFed DAO's Ducat and Locke tokens.
November 18, 2022
Industry Groups Press Lawmakers to Pass Secure Act 2.0If Secure Act 2.0 fails to get attached to a budget bill, the sweeping retirement bill "will languish" next year, says ERISA attorney Brad Campbell.
November 18, 2022
Ex-J.P. Morgan Broker Barred by FINRA After Multiple Trading ViolationsEdward L. Turley was discharged by the firm and then refused to provide testimony during a FINRA investigation.
November 18, 2022
Meet the 2022 LUMINARIES WinnersThese 33 individuals and firms are making a difference in Community Impact, Diversity & Inclusion, Executive Leadership and Thought Leadership.
November 16, 2022
FINRA Launches Targeted Exam of BDs' Crypto Asset CommunicationsThe exam targets broker-dealer practices regarding retail communications concerning crypto asset products and services.