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.
Supreme Court Hears Arguments in Captive Insurer Case
By Allison BellThe outcome could affect how the IRS sets rules.
December 01, 2020
Kraninger Attempting to Keep Imprint on CFPB Even if She Is FiredThe CFPB makes a major policy move this week in finalizing its new "Advisory Opinions Policy" plan.
November 27, 2020
Trump Nominates a Top Bank Regulator as Biden Starts TransitionSenate Banking Committee Chair Mike Crapo has signaled Brian Brooks would get a confirmation hearing for a five-year term leading the Office of the Comptroller of the Currency.
November 26, 2020
10 Classy Holiday Gifts for Clients Under $100There are plenty of fun ways to both delight clients and comply with regulatory rules on gift giving.
November 24, 2020
Appeals Court Disregards FINRA Rule in CCO CaseDecision raises questions about how FINRA will charge firms and compliance officers for "should have known" violations, Eversheds' attorneys say.
November 23, 2020
SEC Examined 15% of RIAs Despite Pandemic: DriscollThe Securities and Exchange Commission's exam division conducted more than 2,950 examinations in fiscal year 2020.
November 19, 2020
What to Expect From the SEC Under BidenBiden will likely pick an SEC chair more in the vein of former SEC Chairwoman Mary Jo White than Jay Clayton.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.