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.
Groups File Petition to End SEC Crackdown on 12b-1 Fees
By Melanie Waddell"It is time for the SEC to stop its troubling, ongoing trend of backdoor regulation," said FSI's Dale Brown.
April 27, 2020
FINRA, NASAA to Launch Online Testing ServicePrometric, which administers FINRA exams, will supervise exams via the computer camera and other web tools.
April 27, 2020
RBC to Pay $3.9M for Share Class ViolationsThe firm failed to disclose potential conflicts of interest when recommending mutual fund share classes, the SEC said.
April 27, 2020
FINRA Suspends Ex-State Farm Rep for Forging His Parents' SignaturesThe rep also falsified powers of attorney for his parents, who were clients, FINRA says.
April 27, 2020
Reg BI, Form CRS 'Show Must Go On!'The SEC will be mindful of coronavirus disruptions as it presses ahead with June 30 compliance date.
April 27, 2020
Get Ready for Wave of Client Complaints, Compliance IssuesThere should be a surge in customer complaints and securities arbitration filings tied to this year's "Corona Crash."
April 27, 2020
IRS Provides Coronavirus Filing ReliefIndividuals and businesses, IRA rollovers get July 15 extension; new filing tools launched.
April 24, 2020
FINRA Is on a Hiring SpreeFINRA's new virtual onboarding initiative, "FINRA in a Box," was launched in March to get new workers set up at home.