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 Should Nix Fund-Names Rule: ICI's Pan
By Melanie WaddellThe rule would mean the SEC would second-guess how investment professionals choose investments, ICI says.
August 16, 2022
Why Balking at SEC Rules Will Not Make You a Target: SEC RoundupSuzan Rose of the Alternative Investment Management Association explains why firms should not be reluctant to air their views on SEC proposals.
August 15, 2022
Senate Finance Chair Asks Blackstone Unit for Private Placement Life DetailsSen. Ron Wyden says wealthy families might be using PPLI to cut taxes, without a genuine insurance purpose.
August 15, 2022
IRS to Hike Interest Rates for Q4A 6% overpayment and underpayment rate will apply to most taxpayers starting Oct. 1.
August 15, 2022
Ex-Pruco Securities Rep Suspended by CFP Board Over Child Porn ChargesThe news follows the arrest in Delaware and charging of the former broker with five counts of dealing in child pornography.
August 15, 2022
Regulators Work to Keep Hot Annuity Products FairDraft guidelines could affect what happens when RILA holders pull cash out early.
August 15, 2022
How the U.S. Toppled the World's Most Powerful Gold TraderLast week, former JPMorgan employee Michael Nowak was convicted on 13 counts and now faces the prospect of decades in prison.
August 12, 2022
The Inflation Reduction Act's Impact on Your Client's Bottom LineThe act, being voted on Friday, would raise taxes on some corporations, reduce drug costs and tackle climate change.