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.
FINRA's New Research Analyst Exam Starts May 15
By Melanie WaddellThe revised Series 86 and 87 exams encompass the five major job functions a Research Analyst performs.
April 06, 2023
Reg D Changes Are a Bad Idea: SEC RoundupMorgan and Zaccaro talk with venture capital advocate Justin Field about potential SEC changes to these small offerings.
April 06, 2023
Goldman Fined $3M for Marking 60M Short Sales as LongFINRA said the bank had failed to set up systems to comply with trade-reporting rules that it allegedly broke.
April 05, 2023
Could Non-Compete Agreements Be Finished?A proposed rule from the Federal Trade Commission could require employers to rescind almost all existing non-compete clauses.
April 04, 2023
Life Settlement Taxes and 1099sOne policy sale may lead to calculations involving three different tax rates.
April 03, 2023
Merrill to Pay $9.5M Over Undisclosed FeesThe firm paid part of these foreign exchange fees to advisors, referring to them as commissions in internal documents, the SEC says.
April 03, 2023
Do a 'Mock Audit' Now Before SEC Comes Knocking: Compliance ProFrontLine Compliance's Amy Lynch talks about today's top compliance issues and how advisors can prepare for what's ahead.
April 03, 2023
Watch Out When Using This Type of Trust: IRSThis kind of annuity trust can be misused by promoters, advisors and taxpayers trying to eliminate ordinary income and capital gains.