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.
SEC Clarifies Form CRS Rules on Reporting Disciplinary History
By Melanie WaddellThe clarification follows a report that at least 1,300 firms failed to report disciplinary or legal events on the form.
October 07, 2020
Fake FINRA Survey Is a Phishing Scam, Regulator Warns BDsThe email scam is the latest of several attempts to illicitly gather data by impersonating FINRA or registered reps.
October 07, 2020
SEC Adds to General Electric's Long-Term Care Insurance HeadachesGE says it disagrees with how the SEC staff sees things.
October 06, 2020
Software Giant John McAfee Arrested; Charged With Tax Evasion, Crypto SchemeThe antivirus software pioneer was arrested in Spain and is awaiting extradition.
October 06, 2020
IRS Extends Deadline to Register for Stimulus PaymentThe IRS is providing more time for non-filers to register to get their $1,200 economic impact payment.
October 05, 2020
FINRA Mulls Further Changes to Senior Exploitation RuleFINRA wants to extend the period for placing a temporary hold on accounts and create the first uniform, national standard for placing holds on transactions.
October 05, 2020
Ex-Commonwealth Rep Pleads Guilty to Stealing Over $3.7M From ClientsThe barred broker and advisor pleaded guilty to one count each of wire fraud, mail fraud and identity theft.
October 05, 2020
Human Capital: Ron Rhoades Unpacks Reg BI UnknownsIn this episode, the fiduciary advocate says he still has lots of questions on the SEC's best-interest rules.