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.
FINRA Fines Ex-Morgan Stanley Rep Over Inaccurate Meal Expense Reports
By Jeff BermanThe advisor sued Morgan Stanley for wrongful termination.
February 25, 2021
SEC Amps Up Reg BI Exams"Good-faith" compliance efforts are no longer enough, an SEC exam official warns.
February 25, 2021
Reddit GameStop Squeeze Is a Game ChangerOne outcome of the GameStop incident could be the SEC moving to a T+1 settlement date for securities transactions.
February 24, 2021
Will the 2021 Tax Filing Deadline Be Extended? CPA Group Asks IRS for ClarityReports indicate IRS may move the April 15 deadline if Congress approves another round of economic impact payments.
February 23, 2021
FINRA Fines BD Over Handling of CEO Email HackThe CEO, who was also the firm's chief compliance officer, ignored suspicious notifications for about four months, FINRA says.
February 23, 2021
FINRA Bars Ex-Wells Fargo Rep Over Private Securities TransactionsThe firm's former broker allegedly solicited clients to invest in a software company he was invested in, FINRA says.
February 23, 2021
IRS Gives Tax Filing Relief to Texans Hit by Winter StormsAffected taxpayers also have until June 15 to make IRA contributions for 2020.
February 23, 2021
Senate Panel Sets Date for Gensler SEC Nomination HearingThe Reddit GameStop squeeze will likely be front and center for Gensler's SEC.