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.
Treasury, IRS Extend PPP Loan Grace Period
By Melanie WaddellThe safe harbor repayment date with respect to earlier "economic certifications" made by borrowers has been extended by a week.
May 06, 2020
Supreme Court Hears Arguments Over Birth Control Benefits MandateThe chief justice raised concerns about the Trump administration's approach.
May 06, 2020
Rep. Phil Roe Says DOL Should Hold Off on Fiduciary Rule RebootMinimizing rulings during the pandemic "would be a good idea," Roe said.
May 06, 2020
FINRA Announces Reduced-Fee Mediation ProgramParties can use remote mediation at significantly reduced fees through Aug. 31.
May 05, 2020
FINRA Suspends Ex-LPL Rep Who Solicited Soccer Team InvestmentsThe broker also engaged in two outside business activities, according to FINRA.
May 05, 2020
SEC: Investors Need Timely Information on Muni Bond IssuesDisclosure is needed because of the financial and economic impacts of the COVID-19 pandemic.
May 04, 2020
FINRA Warns of Email Phishing ScamThe scam involves fraudulent emails that claim to be from FINRA officers.
May 04, 2020
SEC Gives Break on Crowdfunding Rules for Some Small FirmsThe relief is intended for established companies who may have an urgent need of funding during the pandemic.