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.
CPAs Urge Lawmakers to Extend PPP Loan Application Deadline
By Melanie WaddellBorrowers are facing urgent tax and compliance challenges, AICPA's Lisa Simpson says.
March 09, 2021
FINRA Looks at Reg BI in Light of GameStop FrenzyFINRA will consider whether Reg BI applies to game-like features in trading apps, CEO Robert Cook told Sen. Elizabeth Warren.
March 08, 2021
Lawmakers Urge IRS to Extend Tax Filing Deadline"We demand that the IRS announce an extension as soon as possible," Reps. Neal and Pascrell said.
March 05, 2021
SEC Ad Rule Published in Federal Register, Setting Effective DateThe rule becomes effective May 4.
March 05, 2021
SEC Fears Falling Behind on Advisor ExamsThe SEC's exam chief says it will be difficult to maintain last year's 15% exam rate in a "nutty year" for markets.
March 03, 2021
FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi SchemeThe former broker allegedly moved a client's IRA to a different administrator and used forged documentation to invest the money.
March 03, 2021
SEC's Top 6 Exam Priorities for 2021The scope of Reg BI exams will be expanded this year, the agency noted in its just-released exam priorities list.
March 03, 2021
IRS Drafts Update of Pension and Annuity Income GuideSome major changes relate to COVID-19 distributions and disaster tax relief.