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.
GOP Senator Calls for Rulemaking Halt Until Trump Takes Office
By Melanie WaddellA flurry of activity at the SEC and other agencies is more likely, a compliance consultant says.
November 14, 2024
Gensler Makes Final Pitch on SEC Crypto RulesThe Trump administration won’t share his view of the digital asset industry.
November 14, 2024
Debate: Should the SALT Deduction Cap Be Eliminated?The state and local tax deduction limit of $10,000 per federal return could expire after 2025.
November 14, 2024
FINRA Fines BBVA Securities for Failing to Monitor Annuity Exchange RatesThe broker-dealer did not have an adequate supervisory system in place, the regulator found.
November 13, 2024
No More Waivers: IRA Beneficiaries Must Take RMDs in 2025The IRS has been clear that additional taxpayer relief will not be forthcoming around these distributions.
November 13, 2024
FINRA Files to Raise Fees Starting in 2025The median large firm would pay an extra $415,000 a year by 2029.
November 12, 2024
FINRA Fines Firm $30K for Form CRS FailuresG.research failed to disclose its own and its control affiliates' disciplinary history on Form CRS.
November 11, 2024
Who Might Succeed Gensler as SEC ChairRichard Farley of Kramer Levin Naftalis & Frankel and Norm Champ of Kirkland & Ellis are among the contenders.