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.
SEC Charges Pastor-Turned-Advisor With $2.4M Fraud
By Dinah Wisenberg BrinThe former advisor sold phony promissory notes to Christian clients, the SEC alleges.
September 12, 2024
Industry Groups Cheer T+1 as a SuccessFirms can now "make better use of their capital while promoting financial stability," SIFMA, ICI and DTC say.
September 11, 2024
Ex-LPL Rep Forged Client Signatures: FINRAThe broker falsely attested that he had not signed another person's signature on a document, FINRA says.
September 09, 2024
SEC Hits 9 Firms in Marketing Rule CrackdownThe RIAs ran ads with untrue or unsubstantiated statements or broke rules around ratings and testimonials, the SEC says.
September 09, 2024
Physical Signatures No Longer Needed on Many Social Security FormsThe agency has digitized or removed signature requirements to ease the filing burden on consumers.
September 09, 2024
New House Bill Could Create Roth-Like HSA AlternativeThe HOPE Act would provide some tax breaks for savers who don't use high-deductible health plans.
September 06, 2024
Latest IRS Sweep of Wealthy Tax Cheats Has Recovered $172M So FarThe campaign targets high-earning taxpayers who have missed one or more tax returns since 2017.
September 06, 2024
Voters Love No Tax on Tips, But Split Over $25K Housing HelpTrump's pledge to eliminate federal taxes on Social Security benefits was the most popular of the six economic proposals surveyed.