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.
Biggest Oil Fund and Its CEO Face Impending SEC Action
By Alex Longley and Katherine GreifeldThe SEC has issued the United States Oil Fund ETF, known as USO, a Wells Notice.
August 18, 2020
5 Things to Know About the New 401(k) Plan Illustration Regs, for AgentsOne thing officials want to know is whether many inflation-adjusted income annuities really exist.
August 18, 2020
3 Reasons the SEC's Latest Shareholder Proposal May Be a Game-ChangerSimplifying the information and reducing redundancy in mutual fund docs are the right steps by the regulator.
August 18, 2020
UBS Reps Suspended for Unauthorized TradingFINRA also suspends ex-Edward Jones rep, claiming he settled a client complaint without the knowledge or approval of the firm.
August 18, 2020
DOL Issues Rule on Lifetime Income StatementsThe rule, mandated by the Secure Act, is intended to help workers picture their savings as a monthly income stream.
August 17, 2020
Ex-JPMorgan Rep Barred for Refusing to Cooperate in FINRA ProbeFINRA also barred a rep that it claimed converted $275,000 of a relative's money for his own use and then lied about it.
August 17, 2020
IRS Allows Electronic Filing of Form 1040-XIt's one of the last major individual tax forms that needed to be paper filed, the IRS said.
August 17, 2020
Peirce, Crenshaw Sworn In as SEC CommissionersBoth women were unanimously confirmed by the Senate on Aug. 6.