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.
Debate: Should Mega Roth IRA Balances Be Capped?
By Robert Bloink | William H. ByrnesTwo professors debate whether the IRS should be able to tax any amount of tax-preferred IRAs exceeding an established limit.
August 25, 2021
SEC Accuses Advisor of Running $110M Ponzi SchemeThe Marietta, Georgia, advisor was named in a complaint by the SEC, along with two entities he controls.
August 25, 2021
Barbara Roper Gets Key SEC PostSEC Chairman Gary Gensler has appointed Roper, a prominent investor advocate, as a senior advisor.
August 25, 2021
Northwest Advisors Hit With SEC Fine Over 12b-1, Wrap FeesAdvisory clients paid excess fees on their investments.
August 24, 2021
SEC Steps Up Chinese IPO Reporting RulesThe agency has begun to issue new reporting requirements for Chinese companies that want to list on U.S. exchanges.
August 24, 2021
FINRA Fines Ex-Raymond James Rep Who Impersonated ClientThe rep, now with Ameriprise, allegedly pretended to be his client on a phone call with an annuity company, FINRA says.
August 23, 2021
Jackson Nabs Fidelity's Compliance ChiefCarrie Chelko joins the annuity provider as an EVP and will become its compliance chief after the demerger with Prudential on Sept 13.
August 20, 2021
Regulators Are Embracing the Latest Tech Tools. Are You?Legacy systems just can't keep up with changing compliance demands of compliance.