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 Gives Tax Filing Relief to Texans Hit by Winter Storms
By Melanie WaddellAffected taxpayers also have until June 15 to make IRA contributions for 2020.
February 22, 2021
Samantha Russell: How to Leverage SEC's 'Game-Changing' New Ad RuleThe marketing whiz tells ThinkAdvisor how RIAs can use testimonials once the rule goes into effect in May.
February 21, 2021
What's on Gary Gensler's To-Do List?GameStop, Reg BI, a Bitcoin ETF ... the list goes on for the SEC chair nominee. Industry experts read the tea leaves on which comes first.
February 19, 2021
Ex-Merrill Rep Barred for Keeping $100 Found at ATM: FINRAThe former broker and advisor was terminated by the firm in late 2019.
February 18, 2021
Wells Fargo Scores Big Regulatory WinThe Fed has accepted its proposal to address lapses in governance and risk management, as required by a 2018 enforcement action.
February 17, 2021
SEC Sues Morningstar's Former Credit Ratings AgencyThe lawsuit alleges Morningstar Credit Ratings violated disclosure and internal control provisions of federal law in CMBS ratings.
February 17, 2021
Rollovers Are Fiduciary Advice Under New DOL RuleA rollover likely implies a continuing advisory relationship, former EBSA head Brad Campbell says.
February 17, 2021
House Democrats Float Bill to Close Carried Interest Tax LoopholeThe carried interest loophole "has allowed private equity tycoons to pay lower tax rates than their secretaries," said Rep. Bill Pascrell, one of the bill's sponsors.