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.
XRP Tokens Caught in Crypto Oversight Crosshairs: SEC Roundup
By Nick Morgan and Tom ZaccaroAttorney John Deaton says the SEC's jurisdictional "land grab" of crypto will affect XRP token holders.
September 13, 2022
SEC Charges BNY Mellon, Oppenheimer, Other Firms With Municipal Disclosure FailuresIn first of its kind actions, SEC said four firms sold new issue municipal bonds without obtaining required disclosures for investors.
September 13, 2022
How Does Congress Feel About Crypto? Ric Edelman Asks Rep. Jim HimesThe Connecticut congressman discusses the need for a central bank digital currency and for federal regulation of crypto.
September 12, 2022
Advisors Cast a Wary Eye on 401(k) AnnuitizationIn an advisor survey, most respondents said offering annuitization as a default option at retirement would be harmful.
September 12, 2022
Wells Fargo to Pay $145M Over Company Stock in Its 401(k) PlanWells Fargo and a plan trustee caused the plan to overpay for stock, according to the Labor Department.
September 12, 2022
10 Top Ways to Use Life Insurance in Charitable GivingThe author sees plenty of untapped potential in a huge, little-noticed asset class.
September 09, 2022
SEC 12b-1 Fee, Custody Rules Likely Out by Year-EndBoth rules "are currently in the works," says compliance consultant Amy Lynch.
September 09, 2022
Ex-LPL Rep Pleads Guilty to Witness Tampering, FraudThe barred broker pleaded guilty to fraud and identity theft last year but scrapped the plea deal.