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.
Ex-Broker Sentenced to Over 4 Years in Prison for Elder Fraud
By Jeff BermanThe ex-rep, who worked for Morgan Stanley before the fraud took place, also must pay over $968,000 to the victims.
March 25, 2022
Five Key Points From SEC's Proposal for Climate DisclosuresThe agency just issued a 500-plus-page proposed rule for public companies; here are the highlights.
March 25, 2022
Debate: Should Retirement Reenrollment Be Made Automatic?The Auto Reenroll Act of 2022 would require workers to reevaluate their decision to opt out of some plans every three years.
March 25, 2022
SEC Acting Exam Director Kahl to DepartRichard Best, director of the SEC's New York Regional Office, will take his spot.
March 25, 2022
Ex-SEC Commissioner Paredes on Regulating Crypto: SEC RoundupTroy Paredes discusses what's next in digital assets regulation with hosts Nick Morgan and Tom Zaccaro.
March 24, 2022
Why Your Tax Refund May Be Bigger This YearRecent statistics show tax refunds for 2021 are running 13% higher than for 2020. Here's why.
March 24, 2022
Beware of These Backdoor Roth Dangers: Advisors' AdviceSeven advisors weigh in on key issues to avoid when considering this retirement tool for their investor clients.
March 24, 2022
SEC Prevails in 12b-1 Fee Case Against Advisory FirmRather than settle, the firm says it spent two years fighting to stop the SEC's push to create "new regulation without following the formal rule-making process."