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.
Software Giant John McAfee Arrested; Charged With Tax Evasion, Crypto Scheme
By Jeff BermanThe antivirus software pioneer was arrested in Spain and is awaiting extradition.
October 05, 2020
Ex-Commonwealth Rep Pleads Guilty to Stealing Over $3.7M From ClientsThe barred broker and advisor pleaded guilty to one count each of wire fraud, mail fraud and identity theft.
October 05, 2020
Human Capital: Ron Rhoades Unpacks Reg BI UnknownsIn this episode, the fiduciary advocate says he still has lots of questions on the SEC's best-interest rules.
October 02, 2020
FINRA Moves Ahead on BD Fee HikeBeginning in 2022, fees in five areas will be raised gradually.
October 02, 2020
IRS Warns Micro Captive Users of Imminent Shock and AweThe agency says it may apply a strict liability penalty to some captives.
October 01, 2020
FINRA Bars Yet Another Ex-Broker From Shuttered BD First StandardThe former rep, like others from the firm, was accused of excessive trading, then refused to cooperate with FINRA's investigation.
October 01, 2020
FINRA Fines Ex-Merrill Rep Who Took Client Info to New FirmBefore leaving Merrill, the rep emailed himself clients' personal info 161 times, FINRA says.
September 30, 2020
IRS Issues Final Regs on Annuity Payments, Business EntertainmentIRS also issued final regs on business expense deduction for meals and entertainment.