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: Self-Supporting College Students Can Claim Stimulus Checks
By Bernice NapachNov. 21 is the deadline to receive payments this year.
November 04, 2020
IRS Warns of New Text Scam Tied to Stimulus PaymentsThe scam tricks people into disclosing bank account information.
November 04, 2020
Fake Advisor Calling Himself 'Dr. Cash' Arrested for Securities FraudThe unregistered advisor allegedly scammed investors using a fictitious fund, according to the SEC and U.S. Attorney's Office.
November 04, 2020
Ed Slott: Advisors Should Take Note of IRS Ruling on Missing 401(k) ParticipantsThe IRS guidance addresses retirement plan participants "who are due a benefit but cannot be located," Slott says.
November 03, 2020
SEC Amends Capital-Raising Rules"These changes do little to ease the costs of capital for the smallest companies," said Cato's Schulp.
November 03, 2020
FINRA Panel Stretched Rule 8210 Too FarA rep was barred for failing to turn over an IRS document. That's not how FINRA's books-and-records rule was intended to be used.
November 02, 2020
FINRA: Ex-BofA Analyst Charged 'Adult Entertainment' on Corporate CardThe analyst charged about $21,000 at an "adult venue," FINRA says.
November 02, 2020
SEC Enforcement Actions Down 17% in 2020But financial remedies ordered set a new high, according to the agency's enforcement chief.