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.
IRS Warns on Opportunity Zone Fund Filings
By Melanie WaddellTaxpayers who may need to take additional actions should begin receiving letters in the mail this month.
April 07, 2022
FINRA Bars Ex-Cetera Rep Who Used Client Money to Buy Her Son Mutual FundsCetera terminated the former broker after investigating her for allegedly converting over $40,000 from three older clients.
April 06, 2022
Biden Nominates 2 New SEC CommissionersThe nominees would replace former Commissioner Elad Roisman and departing Commissioner Allison Herren Lee.
April 05, 2022
Ex-BofA Merrill Staff Among 6 Banned by Fed Over Covid Loan FraudThe Federal Reserve imposed penalties on two individuals who previously worked at Merrill Lynch Wealth Management.
April 05, 2022
Trendspotter: SEC Cracks Down on Revenue Sharing, Including 12b-1 FeesRevenue sharing arrangements continue to be an SEC exam focus this year.
April 04, 2022
Ed Slott: IRS' Secure Act RMD Regs Are Effective Now; Here's How to ProceedClients with inherited IRAs should wait for more clarity before acting on the IRS' guidance, the CPA says.
April 04, 2022
SEC Warns Advisors on Rollovers Under Reg BIAdvisors must consider costs, investment options and other account features before recommending a rollover, regulators say in new guidance.
March 31, 2022
Brokers International's Mark Williams on the Annuity Market Force to WatchThe Department of Labor's sales standards were here, then they weren't. Now they're back.