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.
January 03, 2025
Whipsaw BOI Rulings Leave Business Owners DizzyMost American business owners were to become subject to a Jan. 1 deadline to submit beneficial ownership information reports.
January 03, 2025
JP Morgan Loses $39.7M Arbitration Against Barred BrokerThe financial services firm claimed that Edward Turley, a former advisor, "unjustly enriched himself by brazenly lying."
January 03, 2025
Trump Taps Keis, Schwab for Key Treasury RolesLobbyist Ken Kies will head up tax policy; Samantha Schwab will be deputy chief of staff.
January 02, 2025
RIA to Pay $115K Fine Over Custody Rule ViolationsDriftwood Advisors failed to timely distribute audited statements to investors in pooled vehicles it advised, the SEC states.
January 02, 2025
WSJ Goes After Insurers' Medicare Advantage StrategyReporters looked into allegations that plans make patients look sicker than they are to boost payments.
December 30, 2024
Vanguard Signs Updated 'Passivity Agreement' to Limit Its Influence on BanksThe pact removes the immediate threat to Vanguard’s ability to buy bank stocks, Vanguard watcher Jeff DeMaso says.
December 27, 2024
Inflation Spells Significant 2025 Tax AdjustmentsChanges will apply to standard deduction amounts, marginal rates and various credits beginning in tax year 2025.
December 27, 2024
Will the Medicare Plan Market Please Stop Shaking?Amanda Brewton, a distribution and policy veteran, has ideas about how agents can help add stability.
December 27, 2024
Social Security Fairness Act Calls for 2024 Back PaymentsThe bill repealing the controversial Windfall Elimination Provision and Government Pension Offset awaits President Biden's signature.
December 23, 2024
SEC Fines RIA Over Marketing Rule ViolationsAtlas Financial Advisors falsely claimed its Portfolio Shield strategies' hypothetical performance was validated by Morningstar, the regulator says.