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.
LPL Discloses $18M Charge, but No Arnold Updates on Q3 Call
By Janet LevauxThe firm, now led by Rich Steinmeier, expects an SEC settlement related to anti-money laundering controls.
October 29, 2024
15 States Where the Most Estate Taxes Were Paid in 2022More than 8,000 individuals filed estate tax returns, with gross estates totaling $259.6 billion, according to newly released data.
October 29, 2024
What the Election Could Mean for SEC, DOLChanges will be afoot at the regulatory agencies, especially if Trump wins the White House.
October 29, 2024
Is It Time to End the 401(k)?Behavioral economist Shlomo Benartzi wants to switch to portable accounts; retirement plan experts cry foul.
October 28, 2024
CFP Board's Enforcement Powers Create Major Risks: SIFMAThe board's activities duplicate and conflict with those of the SEC and FINRA, the industry group warns.
October 25, 2024
5 Industries With the Most at Stake in the Presidential ElectionFrom financial services to health care and other fields, there will be clear business consequences to the upcoming election results.
October 25, 2024
Intelliflo Redblack Adds Wash Sale Alert ToolNew capabilities are designed to help financial advisors ensure compliance with IRS wash sale rules.
October 23, 2024
The Big Post-Election Surprise Awaiting InvestorsA "perfect fiscal policy storm" is coming, says Jeff Bush of The Washington Update.