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Regulation and Compliance

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.

Webcasts

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SEC Ad Rule Published in Federal Register, Setting Effective Date
SEC Fears Falling Behind on Advisor Exams
SEC's Top 6 Exam Priorities for 2021
Gensler Talks GameStop Volatility at SEC Nomination Hearing
DOL Expands Eligibility for Pandemic Unemployment Benefits
Rollovers Are Fiduciary Advice Under New DOL Rule
Trump DOL Fiduciary Rule to Take Effect Tuesday
Final DOL Fiduciary Rule to Have Significant Impact on Rollovers
IRS Drafts Update of Pension and Annuity Income Guide
Will the 2021 Tax Filing Deadline Be Extended? CPA Group Asks IRS for Clarity
IRS Gives Tax Filing Relief to Texans Hit by Winter Storms
House Democrats Float Bill to Close Carried Interest Tax Loophole

FINRA

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FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi Scheme
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense Reports
FINRA Fines BD Over Handling of CEO Email Hack
FINRA Bars Ex-Wells Fargo Rep Over Private Securities Transactions

More from Federal Regulation
March 01, 2021
Massachusetts BD to Pay $450K Over 12b-1 Fees
March 01, 2021
Gensler to Stress 'Clear Rules of the Road' at SEC Nomination Hearing
February 26, 2021
SEC Halts Trading in 15 Companies Due to Social Media Activity
February 25, 2021
SEC Amps Up Reg BI Exams
February 25, 2021
Reddit GameStop Squeeze Is a Game Changer
February 23, 2021
Senate Panel Sets Date for Gensler SEC Nomination Hearing
February 22, 2021
Treasury Secretary Yellen Is Wary of Bitcoin
February 22, 2021
Samantha Russell: How to Leverage SEC's 'Game-Changing' New Ad Rule
February 21, 2021
What's on Gary Gensler's To-Do List?
February 18, 2021
Wells Fargo Scores Big Regulatory Win