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 Proposes Changes to Form PF for Private Equity, Hedge Fund Advisors
By Melanie WaddellThe plan would help federal regulators assess systemic risk, said SEC Chairman Gary Gensler.
January 24, 2022
Supreme Court Rules 7th Circuit Erred in Annuity Plan Fiduciary CaseThe justices ruled 8-0 that a 403(b) plan can have ERISA problems, even if it offers participants many choices.
January 24, 2022
IRS Issues Warning on First Day of Tax Filing SeasonTake special care this year due to several critical tax law changes that took place in 2021, the commissioner said.
January 24, 2022
SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'One possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
January 21, 2022
IRS to Hire 200 Attorneys to Combat Tax SchemesNew hires will help the IRS manage its increasing caseload in its multi-year effort to stamp out abusive schemes.
January 21, 2022
Wells Fargo Gets 2015 Regulatory Order LiftedThe move by the OCC is the latest sign of progress for CEO Charlie Scharf's quest to turn around the scandal-plagued bank.
January 21, 2022
8 Top FINRA Priorities for 2022"A lot of exciting initiatives" are afoot at FINRA, says its CEO, Robert Cook.
January 20, 2022
GOP Lawmakers to IRS: 16M Outstanding Tax Returns Is a 'Crisis'The agency can't blame a lack of funding for the backlog, the lawmakers wrote.