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.
Wells Fargo 'Manipulated' FINRA Arbitration Process: Judge
By Melanie WaddellFINRA allowed one lawyer to "secretly red line" the list of arbitrators under consideration, according to a ruling.
February 01, 2022
SEC Charges Advisor in Self-Directed IRA ScamInvestors were persuaded to sell their securities and invest the proceeds in gold and silver coins, the SEC said.
February 01, 2022
Greg Valliere's Top 6 Economic, Political Predictions for 2022 and BeyondHere's what AGF Investments' chief U.S. strategist expects for inflation, tax hikes and Biden's future priorities.
February 01, 2022
Ed Slott: Child Tax Credit Is 'a Mess!'"Some people may end up paying a tax pro more than the credit!" Slott said as the IRS released new guidance on the advance payments.
January 28, 2022
Why a Privacy Checkup Can Keep You Out of TroubleHere's how to comply with Regulation S-P, which requires that advisors issue privacy notices and protect clients' personal information.
January 27, 2022
SEC Bars Imprisoned Ex-Woodbridge Sales ManagerIvan Acevedo recently started a five-year sentence for his role in the $1.2 billion Woodbridge Ponzi scheme.
January 27, 2022
Senators Press Yellen to Boost IRS FundingSen. Elizabeth Warren and others want at least a14% increase in yearly IRS funding and $80 billion invested in the agency over 10 years.
January 27, 2022
SEC Finds Problems in Private Fund Advisor ExamsApproximately 35% of all SEC-registered advisors manage approximately $18 trillion in private fund assets.