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 to Take Up Long-Awaited Accredited Investor Definition Changes
By Melanie WaddellAnna Pinedo, partner with Mayer Brown, expects one change will be that various FINRA broker-dealer licenses will be added regardless of net income/net worth.
August 21, 2020
Human Capital: SEI's Anderson Sizes Up Likely Changes to SEC's Form CRSIn this episode, John Anderson talks about why Reg BI is just a "small step" toward a "true fiduciary rule."
August 20, 2020
FINRA Warns of Fake Broker WebsitesThe sites use reps' names and other information and may appear to be their personal sites.
August 20, 2020
Biggest Oil Fund and Its CEO Face Impending SEC ActionThe SEC has issued the United States Oil Fund ETF, known as USO, a Wells Notice.
August 19, 2020
6 Form CRS Facts Advisors Should Keep in Mind: RIA in a BoxMost advisors seem to have filed Form CRS by the SEC's June 30 deadline, and some have made edits since then.
August 19, 2020
How the IRS' Tax Backlog Could Affect Your ClientsMany taxpayers are receiving IRS notices for nonpayment of taxes that they already paid. Here's what to do, according to CPAs.
August 18, 2020
5 Things to Know About the New 401(k) Plan Illustration Regs, for AgentsOne thing officials want to know is whether many inflation-adjusted income annuities really exist.
August 18, 2020
3 Reasons the SEC's Latest Shareholder Proposal May Be a Game-ChangerSimplifying the information and reducing redundancy in mutual fund docs are the right steps by the regulator.