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.
IRS Clears Up a Confusing Business Tax Reporting Question
By John ManganaroA tax form used to disclose pass-through entity profits does not allow negative amounts.
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.
August 29, 2023
Citigroup Unit Pays $2.9M to Settle SEC ProbeFor a decade, the bank's broker had flawed processes in its accounting tied to the underwriting of securities offerings.
August 29, 2023
Why the Bitcoin ETF Ruling Is a Big WinBitcoin ETFs could account for up to 10% of the cryptocurrency's market value in three years, says Sanford C. Bernstein.