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 Prevails in LPL Rep Annuity Fraud Case
By Melanie WaddellJurors found the rep and his firm liable for fraudulently selling variable annuities to hundreds of federal employees.
March 22, 2022
Ed Slott: More 'Insanity' Lurks in IRS Secure Act RMD RegsThe rules "go off the rails," he says, by forcing some beneficiaries to "monitor two sets of RMD factors well into their 90s!"
March 21, 2022
Money Received Via Crowdfunding May Be Taxable, IRS SaysMoney received by soliciting others to fund businesses or support charities could be taxable.
March 21, 2022
12 States With the Highest Taxes in America: 2022Taxpayers in the most tax-expensive states pay three times more than those in the cheapest states, according to WalletHub.
March 21, 2022
15 Most Overpaid CEOs of Public Companies: 2022Shareholder advocates look at what CEO pay would be if it were tied to cumulative total shareholder returns and other factors.
March 21, 2022
SEC to Require Climate-Change Risk Disclosures Under New PlanThe agency plans to ask firms to outline risks a warming planet poses to their operations in registration statements, annual reports and other documents.
March 18, 2022
Barbara Roper's Former Role Is Filled by a Familiar FaceAfter a stint at the SEC, Micah Hauptman is returning to the Consumer Federation of America.
March 17, 2022
FINRA on Supervision: Not a Boss, Not Your Problem (Even If You're a CCO)CCOs are not automatically supervisors and subject to enforcement action, the regulator says.