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.
Want a Better IRS? Simplify the Tax Code
By Clive CrookThe Inflation Reduction Act expands its funding by $80 billion over ten years, but that move raises some serious questions.
August 18, 2022
Trump's Longtime CFO Pleads Guilty to Tax FraudThe Trump Organization is facing the same charges as Allen Weisselberg; both pleaded not guilty last year to the tax scheme, of which the CFO was the biggest beneficiary.
August 18, 2022
CDC Director Lays Out Overhaul of Agency After Pandemic MisstepsRochelle Walensky says one goal is to get data out faster.
August 18, 2022
Galvin Launches Sweep of Single-Stock ETFsMassachusetts Securities Division's sweep of three broker-dealers focuses on the issuance of single-stock ETFs to retail investors.
August 17, 2022
MassMutual BD Fined $250K, Ex-Broker Barred for FraudRegulators in Massachusetts say MLS Investment Services failed to supervise Charles Evan, who pressured clients into buying unsuitable insurance products.
August 17, 2022
6-Month Timeline for IRS Plan to Target Tax Cheats: YellenNone of the funds will be used to increase enforcement tied to those earning under $400,000 a year, according to a memo.
August 16, 2022
Wall Street's $2B WhatsApp Fines Are Years in the MakingThe regulators have taken the view that any use of personal devices for business communications is problematic.
August 16, 2022
SEC Should Nix Fund-Names Rule: ICI's PanThe rule would mean the SEC would second-guess how investment professionals choose investments, ICI says.