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.
How the SEC Picks Advisors to Examine
By Melanie WaddellA new Risk Alert lays out criteria and describes the types of information the agency will request in exams.
September 05, 2023
New Private-Funds Rules Hit With Court Action: SEC RoundupSeveral industry groups filed an action in a federal appellate court challenging the SEC's recent private funds rules.
September 05, 2023
SEC Charges 5 Advisory Firms With Custody Rule ViolationsThe firms will pay a total of $500,000 for failures tied to the safekeeping of client assets and timely disclosure updates.
September 05, 2023
SEC to Consider Revised Funding Model for CATThe SEC will also consider whether to establish a fee schedule for Consolidated Audit Trail fees.
September 05, 2023
FINRA Hits Another BD With Reg BI-Related FineNetwork 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI's care obligation.
August 31, 2023
Lawmakers Tell DOL to Cease Work on New Fiduciary RuleCongress members said they oppose Labor's continuing efforts to promote a rule that changes the definition of "fiduciary."
August 30, 2023
IRS Issues Guidance on 2023 State Tax PaymentsThe notice gives updates on refunds, deductions for state income and property taxes, and spillover payments.
August 30, 2023
Ex-Morgan Stanley Exec Says He Was Fired for Being WhiteIn a lawsuit, Kevin Meyersburg alleges that the wirehouse replaced him with a less-qualified Black woman.