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's Peirce Says She'll Fight to Further Expand Accredited Investor Definition
By Melanie WaddellPeirce said she would advocate for more credentials to be added to the list.
September 21, 2020
SEC Sets Vote for Controversial Whistleblower Rule ChangesLawyer Stephen Kohn has called the SEC's planned changes "radical."
September 21, 2020
Firm Bilked Clients of Nearly $1M Before Owner's Death: SECThe SEC is seeking disgorgement from the firm owner's estate.
September 21, 2020
IRS Finalizes Last Set of 100% Bonus Depreciation RulesThe deduction applies to property acquired and placed in service after Sept. 27, 2017; IRS also issues regs on estates, non-grantor trusts
September 18, 2020
FINRA Advances Rules on Senior Exploitation, E-SignaturesFINRA plans to publish a Regulatory Notice seeking comment on amendments to its senior exploitation rule.
September 18, 2020
SEC Says Ex-Transamerica Rep Used Client Money to Pay His Own BillsThe former broker and RIA defrauded clients of at least $178,000, according to the regulator.
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.