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.
House Bill Could Help Health Plans Improve Provider Directories
By Allison BellAnother bill could create a rating system for health plans' behavioral health provider lists.
September 21, 2022
Advisor Charged With Securities Fraud in Insider Trading SchemeAn advisor allegedly traded after a friend discussed a potential acquisition at the company he worked for.
September 21, 2022
How Advisors Can Get Ready for New SEC Marketing RuleHere's what to know about embracing new marketing channels compliantly.
September 21, 2022
IRS: Improperly Forgiven PPP Loans Are TaxablePPP loans forgiven based upon misrepresentations or omissions can't be deducted from income, the IRS said.
September 21, 2022
Republicans Attack HHS Over 'Family Glitch' Health Rule ChangeVern Buchanan wants more information about efforts to close an ACA family coverage gap.
September 20, 2022
Waddell & Reed Ordered to Pay $776K Over Reverse ChurningThe firm allegedly breached its fiduciary duty by keeping clients who traded infrequently in wrap-fee accounts.
September 20, 2022
Morgan Stanley to Pay $35M SEC Fine Over Data SecurityAbout 15 million clients' details were compromised over a five-year period starting in 2015.
September 19, 2022
SEC Warns Investors on Performance ClaimsThe commission tells investors to make sure they understand how performance claims are calculated and presented.