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.
Barr Taps SEC's Clayton to Replace U.S. Attorney Who Refuses to Resign
By Bernice NapachGeoffrey Berman, the U.S. attorney for the Southern District of New York, has led investigations into Trump associates.
June 18, 2020
Trump Nominates Crenshaw as SEC CommissionerTrump says he intends to nominate Caroline Crenshaw to fill the Democratic seat.
June 18, 2020
FINRA Moves Ahead on New Exam Cheating RulesFINRA is also overhauling its enforcement technology platform.
June 17, 2020
'Buckets of Money' Advisor Settles With SEC After Long Legal BattleRay Lucia Sr. can now reapply for association with registered entities, says a civil rights group involved with the settlement.
June 15, 2020
FINRA Slams Ex-LPL Rep Who Shared CommissionsThe regulator says the former broker's violations were made after he agreed to buy the book of business of a terminated rep.
June 15, 2020
FINRA Enables Reporting of Reg BI-Related Customer ComplaintsStarting July 18, firms will be able to use two new "problem codes" to report customer complaint information.
June 15, 2020
IRS Extends Key Opportunity Zone DeadlineCertain investors have until the end of the year to roll over capital gains into Opportunity Zone funds.
June 13, 2020
IRS Posts Annuity Advisory Fee Letter Rulings With a TwistThe IRS showed a 1.5% annual fee cap in the old letter rulings. Officials have left the annual cap out of the new rulings.