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.
FINRA Wants IAR Info to Be Available on BrokerCheck
By Melanie WaddellThe SEC's investment advisor database recently added BrokerCheck info.
April 20, 2020
SEC Says Ex-Merrill Rep Bilked Pastors and Churchgoers, Bought Luxury GoodsThe broker also made Ponzi-like payments to investors in the scheme, the SEC says.
April 20, 2020
SEC Hits Merrill Over 12b-1 FeesThe firm was accused of failing to disclose a conflict of interest when advising clients to buy mutual fund shares with fees.
April 20, 2020
FINRA Postpones In-Person Arbitration HearingsFINRA is also waiving postponement fees on hearings through Sept. 4.
April 17, 2020
IRS Issues FAQ on Refundable Tax Credits for Small, Midsize BusinessesThe FAQ addresses paid leave under the Families First Coronavirus Response Act.
April 17, 2020
The SEC Is Watching Advisors' COVID-19 ResponseA pandemic isn't an excuse for advisors to relax compliance — in fact, the pressure is greater.
April 15, 2020
IRS' New 'Get My Payment' Tool Frustrates UsersThe new tool was designed to let Americans check on the status of their Economic Impact Payments.
April 15, 2020
Morgan Stanley Wins Nearly $2M in FINRA Arb DisputeThe firm had sought $1.5 million it said an ex-advisor owed from promissory notes, plus fees.