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.
Reg BI Enforcement to Zero In on Recommendations
By Melanie WaddellThe SEC has released a strategic plan, setting out its goals over the next four years.
August 29, 2022
Kovack Advisors Kept Clients in Unsuitable Wrap Accounts: SECCertain clients remained in wrap accounts despite inactivity and weren't told about additional costs, the SEC said.
August 26, 2022
Debate: When Is Workplace Health Insurance 'Unaffordable'?Two professors discuss the likely effects of reducing the income threshold for an Affordable Care Act tax credit.
August 26, 2022
SEC Loophole Lets Funds Mislead Investors on Performance: StudySome funds change their benchmark indexes to "manipulate the benchmark-adjusted performance they present to investors," researchers found.
August 25, 2022
Free Trading Isn't Free, But We're Still Better OffThere is a perception that shadowy market makers might be "ripping off" investors. But that isn't really true.
August 25, 2022
The New Electric Vehicle Tax Credit: Mind the DetailsThis Inflation Reduction Act tax break comes with income limitations, and not every electric vehicle will qualify.
August 24, 2022
IRS Will Wipe Away $1.2B in Late Fees From PandemicThe tax agency will automatically issue the refunds or credits for most of the fees to 1.6 million taxpayers by Sept. 30.
August 23, 2022
Leader of $310M Ponzi Scheme Involving Hundreds of Advisors Gets 10 Years in PrisonScott Kohn conspired with a vast network of advisors and agents to scam veterans and retirees, DOJ said.