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 Nears $50M SEC Settlement Over Messaging App Use
By Janet LevauxThe IBD will join more than a dozen other firms that have paid fines over off-channel communications.
April 30, 2024
'Bitcoin Jesus' Charged With Evading Almost $50M in TaxesRoger Ver was also an early investor in crypto exchanges Blockchain.com and Kraken.
April 30, 2024
RBC Capital Markets to Pay Nearly $800K Over Trade ConfirmationsThe firm sent 940,000 inaccurate trade confirmations to customers and failed to send millions more, according to FINRA.
April 29, 2024
Why Invest in Private Markets?It's possible to ride along with top-quartile funds found in multibillion-dollar institutional portfolios.
April 29, 2024
Debate: Do Taxpayers Benefit From Changes to the Saver's Credit?Starting in 2027, the credit will be replaced by a 50% matching contribution to existing 401(k)s and IRAs.
April 29, 2024
Trump Advisors Battle for Sway on Taxes, Fed PoliciesInformal advisors want a flat tax, penalties for nations that abandon the U.S. dollar and Federal Reserve reforms.
April 29, 2024
TD Ameritrade Hit With $600K FINRA Fine Over Options Trading ApprovalsThe brokerage's automated system for approving customers for options trading failed to detect red flags.
April 29, 2024
Medigap Policies Face New Federal Nondiscrimination RuleThe new final rule also creates a health insurance agency coordinator requirement.