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.
5 Ways the IRS Irks Taxpayers
By Michael S. FischerThe pandemic has compounded the agency's customer service woes, it says in a report.
May 28, 2021
IRS Audits Focus on Solo 401(k)sSolo 401(k) compliance requirements are so minimal that business owners often forget about them — until there's a problem.
May 28, 2021
FINRA Withdraws Rule Creating Expungement Arbitrator RosterFINRA temporarily withdrew the rule from SEC consideration, saying it might revise it.
May 28, 2021
FINRA OKs Advisory Committee Term Limits, Adjusts CE FeesTerm limits for members of FINRA's 12 advisory committees are intended to promote diversity.
May 27, 2021
Gamification Offers Benefits, Risks to BDs and Clients: FINRAA FINRA panel also warned reps to be careful what they say in their social media posts.
May 27, 2021
Ex-Labor Secretary, DNC Chairman Tom Perez Joins VenablePerez will help clients with regulatory, policy and labor and employment issues.
May 26, 2021
SEC's Peirce Pushes for More Accredited Investor Rule Changes"We need to open additional doors to accredited investor status, such as educational credentials," Peirce said.
May 26, 2021
Ex-Chief of SEC Whistleblower Program Warns of Rising ActivityJane Norberg, who headed the SEC's whistleblower program, says tips surged during the pandemic.