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.
Biden's Carried Interest Tax Proposal Could Put Fund Managers in SEC's Sights
By Nicolas MorganUnder Biden's proposal, fund managers might change valuation methods or impose additional fees, which would draw SEC scrutiny.
June 29, 2021
Trendspotter: Reverse Mortgages Help Retirees Capitalize on Their Biggest AssetDemand for these products, which once had a bad reputation, spiked during the pandemic, a professor says.
June 29, 2021
JPMorgan Subsidiary to Pay $2.75M for Failing to Register as BDIn an unusual move, SEC Commissioner Hester Peirce said she disagrees with the majority decision.
June 28, 2021
Cathie Wood's Ark Files for Bitcoin ETF as Wait for SEC Goes OnThe ARK 21Shares Bitcoin ETF would track the cryptocurrency's performance and hold Bitcoin, too, says a filing.
June 28, 2021
FINRA Bars Ex-Ladenburg Broker Accused of Forging Client SignaturesThe former broker for Ladenburg's Triad Advisors, now owned by Advisor Group, also refused to produce documents in a FINRA inquiry.
June 28, 2021
FINRA Suspends Merrill Rep Over Early UIT RolloversThe rep, also a registered Merrill supervisor, has been suspended for three months and fined $5,000.
June 28, 2021
How Secure Act's 10-Year Rule Creates Tax Headaches for IRA HeirsPlanning for inherited IRAs and 401(k)s has become more complex than ever under the Secure Act.
June 28, 2021
New Law to Boost Life Policy Savings Power: Carrier ExecutivesNAILBA meeting speakers said a tax code change enacted in January will help clients accumulate more cash value.