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.
IRS Boosts 2021 Income Limits for Deductible IRA Contributions
By Melanie WaddellThe tax authority also announced changes to estate and gift tax exemptions for 2021.
October 23, 2020
FINRA Amends Sanction Guidelines to Protect Older AdultsThe revision, effective immediately, "is consistent with FINRA's view that certain investors may need additional protections," says attorney Brian Rubin.
October 23, 2020
IRS Says It's Getting Tougher on Micro Captive UsersThe agency may go easier on taxpayers who can show they relied on the advice of competent tax advisors.
October 21, 2020
5 Ways Advisors Can Use Video and Stay CompliantConcerns about using this marketing tool can be easily overcome. Here's a primer on how to avoid those headaches.
October 20, 2020
Ex-SagePoint Rep Invested Clients' Funds in Sham Pension SchemeThe former broker invested $210,000 of his client's money in private securities transactions without his firm's approval, FINRA says.
October 20, 2020
ICI Names New CEOEric Pan will assume his new role on Nov. 9, succeeding the group's longtime leader, Paul Schott Stevens.
October 19, 2020
SEC Chief 'Cautiously Satisfied' With Reg BI but Seeing Some Troubling TrendsThe SEC chairman shared his views during an interview with SIFMA CEO Ken Bentsen at the association's virtual event.
October 19, 2020
FINRA Files to Boost Arbitrators' PayLawyers for investors support the pay hike but "we do not want arbitrators to be doing this as their living," says PIABA's Sam Edwards.