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.
SEC Probes FTX's Sam Bankman-Fried as His Crypto Empire Crumbles
By Lydia Beyoud and Olga KharifRegulators are looking into whether the crypto trading platform mishandled client funds and reviewing FTX.com's business ties.
November 08, 2022
Still Not Ready for the SEC's New Marketing Rule? Here's What to DoCompliance experts air their views on what advisors should be doing now to be ready if the SEC comes knocking.
November 08, 2022
SEC's Approach to Equitable Settlement Questioned by Legal VeteranRichard Choi said he was surprised to see how the agency now views retirement plan account statements and fee disclosures.
November 08, 2022
Wells Fargo Facing Record $1B-Plus FineThe bank is under pressure from the Consumer Financial Protection Bureau to settle investigations into the mistreatment of clients.
November 07, 2022
IRS Expands 401(k) Tax-Favored Approval Process to 403(b)sCertain groups can soon use the same IRS process as qualified retirement plans when applying for tax-favored treatment.
November 07, 2022
What Advisors, Clients Should Know About Political DonationsDirect contributions aren't tax deductible, but there are ways to support candidates and causes with a tax break.
November 07, 2022
Kitces, Other Advisors Stunned by Rude Advisor Sanctioned by CFP Board"Wow, this was a wild ride," said Michael Kitces about David R. Nute, who told his prospective client that her reactions "tell me why your husband left you."
November 07, 2022
Feds Score $3B Crypto SeizureProsecutors seized almost $3.4 billion in Bitcoin from a property developer who scammed the dark web marketplace Silk Road.