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 Finalizes Last Set of 100% Bonus Depreciation Rules
By Melanie WaddellThe deduction applies to property acquired and placed in service after Sept. 27, 2017; IRS also issues regs on estates, non-grantor trusts
September 17, 2020
IRS Plugs a Hole Left by a Missing DeductionA new regulation addresses an unintended effect of the death of the personal exemption deduction.
September 15, 2020
Cheating on Exams Will Get You Barred, FINRA WarnsFINRA plans to issue a reg notice seeking comment on a "new expedited proceeding" rule for reps and nonreps who cheat on exams.
September 15, 2020
Ex-JPMorgan Rep Traded $314K of Senior's Funds Without Authorization: FINRAThe firm terminated the rep for the unauthorized client trading, and FINRA has now fined her.
September 14, 2020
There's No Easy Fix to the DOL Fiduciary RuleLabor's proposal is unworkable for major segments of the insurance industry. Why hasn't the industry risen up?
September 14, 2020
Distributor Group Mobilizes Anti-DOL Fiduciary Rule CampaignThe Federation of Americans for Consumer Choice says the proposal would turn independent agents into fiduciaries.
September 11, 2020
Older Investors Prone to Financial Overconfidence, Risk-Taking: FINRAFinancial knowledge is lower among older investors but financial confidence isn't, a FINRA Foundation study finds.
September 11, 2020
SEC Obtains Final Judgment Against Ex-Stifel Rep Who Defrauded WidowThe rep was accused of misappropriating his elderly client's funds for his own personal use.