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.
Lawmakers Urge IRS to Extend Tax Filing Deadline
By Melanie Waddell"We demand that the IRS announce an extension as soon as possible," Reps. Neal and Pascrell said.
March 03, 2021
FINRA Bars Ex-LPL Rep Accused of Investing Client's Money in Ponzi SchemeThe former broker allegedly moved a client's IRA to a different administrator and used forged documentation to invest the money.
March 03, 2021
SEC's Top 6 Exam Priorities for 2021The scope of Reg BI exams will be expanded this year, the agency noted in its just-released exam priorities list.
March 03, 2021
IRS Drafts Update of Pension and Annuity Income GuideSome major changes relate to COVID-19 distributions and disaster tax relief.
March 02, 2021
Gensler Talks GameStop Volatility at SEC Nomination HearingIssues such as best execution, trading apps and payment for order flow need review in light of the recent trading frenzy, he says.
March 02, 2021
SEC Issues Alert Over Digital Securities SalesAs offerings and transactions involving cryptocurrencies expand, questions remain about what constitutes a digital security.
March 01, 2021
Massachusetts BD to Pay $450K Over 12b-1 FeesThe BD also used its principal trading account to engage in self-dealing, the SEC says.
March 01, 2021
Gensler to Stress 'Clear Rules of the Road' at SEC Nomination HearingIn his prepared testimony, Gensler also says "markets — and technology — are always changing. Our rules have to change along with them."