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 Extends E-Signature Acceptance
By Ginger SzalaElectronic signatures will be allowed on certain tax forms signed and postmarked by June 30, 2021.
December 16, 2020
SEC Charges Top-Ranked Tennessee Advisor Over 12b-1 Fees"We do not negotiate with regulatory thugs that harass our clients," the advisor, Timothy J. Pagliara, told ThinkAdvisor.
December 15, 2020
Final DOL Fiduciary Rule to Have Significant Impact on RolloversIndustry officials, however, anticipate that the Biden administration will pull back the rule and toughen it.
December 15, 2020
FINRA Names Scott Anderson Head of Market RegulationAnderson joins FINRA on Jan. 25 from Societe Generale; he replaces Tom Gira, who passed away earlier this year.
December 14, 2020
Ric Edelman: 'We Have Solved' Crypto Custody Problem"You've got major players engaged here" in the custody of digital assets, Edelman said. "Fidelity, first and foremost."
December 10, 2020
SIFMA Looks Ahead at Markets, Regulation for 2021U.S. capital markets thrived this year despite the pandemic, which also accelerated trends that could continue in 2021.
December 10, 2020
IRS Q&A Helps Small Businesses Comply With Secure ActAdvisors should remind their retirement plan clients who are affected, Ed Slott says.
December 10, 2020
SEC to Vote on Long-Awaited Ad Rule Changes Next WeekIAA is pleased that the SEC will be able to adopt modernized rules before year-end, CEO Karen Barr said.