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.
Senate Bill Could Change Index-Linked Annuity SEC Filings
By Allison BellBill supporters say the current filing requirements are a bad fit.
November 05, 2021
SEC to Update Electronic Filing RequirementsSEC commissioners unanimously approved the amendments, which are subject to 30 days of public comment after publication.
November 05, 2021
SEC Makes Major Change to Ad Rule ComplianceInvestment advisors can no longer rely on SEC staff letters about current advertising and cash solicitation rules.
November 04, 2021
Ex-Wells Fargo Broker Barred by FINRA Over Ponzi SchemeThe former broker and Wells Fargo were among those named in a complaint last year by disgruntled investor.
November 04, 2021
IRS Posts 401(k), IRA Limits for 2022Next year, the tax authority will boost some contribution limits but not all of them.
November 04, 2021
Ex-Broker Used Client Funds to Pay Taxes, Buy Race Car Items: DOJA federal grand jury returned a seven-count indictment charging the former broker with fraud.
November 03, 2021
Ex-Advisor Gets 3 Life Sentences for Bilking Senior Churchgoers in TexasWilliam Neil "Doc" Gallagher, a radio personality, ran a $32 million scam, prosecutors say.
November 03, 2021
PIABA to Push SEC to Revise Form CRS, New President SaysFirms should be required to disclose information on mandatory arbitration clauses and their ability to pay claims, Michael Edmiston says.