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.
Misreported Crypto Gains? Fix Mistakes Before It's Too Late
By Robert Bloink | William H. ByrnesAdvisors should be on alert and take the time to catch up now, before the IRS toughens enforcement.
December 15, 2021
SEC Needs to Improve Oversight of FINRA: GAOSEC's oversight of FINRA lacks documented policies and procedures for determining which findings and corrective actions to track.
December 15, 2021
Ex-Ameriprise Rep Who Defrauded Retirees Gets 14 Years in PrisonThe former broker scammed clients out of over $12 million as part of a real estate investment scheme.
December 14, 2021
Debate: Should Congress Raise the SALT Cap?Professors Robert Bloink and William H. Byrnes discuss whether the House or Senate tax cap proposal would serve Americans better.
December 14, 2021
Biden Moves to Improve Social Security ClaimingHis executive order also requires the IRS to return calls to taxpayers and Medicare to set up a portal so recipients can find more ways to save money.
December 13, 2021
J.P. Morgan Ordered to Pay $4M to Client in FINRA Arb DisputeThe client alleged the firm made unsuitable trades in her account, including in high-risk equities and "junk bonds."
December 13, 2021
FINRA Caps Off UIT Rollover Sweep With $2M Fine on Wells Fargo UnitThe sweep, which began in 2019, yielded more than $23 million in fines and restitution, FINRA said.
December 13, 2021
Trendspotter: 401(k) Participants Are Staying in Plans After RetirementFor some advisors, this trend raises questions about compensation and conflicts of interest, retirement researchers say.