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 Reg BI Seeks to 'Carve Up' Market for Investment Advice, XYPN Says
By Melanie WaddellIt's "just the latest in a series of attempts by the SEC to exceed or misapply its regulatory authority," XYPN said.
April 13, 2020
FINRA Clarifies Disclosure Rules for PPP LoansIt also has shared details on the net capital treatment of covered loans tied to the stimulus' Payroll Protection Program.
April 13, 2020
Shareholders Should Be Heard, Not MuzzledThe SEC is moving toward tamping down small shareholder proxy input. Many are fighting back. Here's why.
April 13, 2020
First Stimulus Checks Sent to Bank AccountsMeanwhile, senators called for clarity on which workers are eligible for emergency unemployment assistance.
April 10, 2020
IRS Rejects 2 Death Benefits Groups' Requests for Tax-Exempt StatusBoth groups provide death benefits only for their own members.
April 10, 2020
IRS, Treasury Launch Tool to Help Non-Filers Get Stimulus Checks FasterThe new online tool was designed to help millions who don't usually file a tax return.
April 10, 2020
New SEC Rule Amendments to Help Closed-End Funds, BDCsThe changes will benefit investors in business development companies and other closed-end funds, the SEC chairman says.
April 10, 2020
IRS Extends 60-Day IRA Rollovers to July 15Many retirees who took RMDs before they were waived by the CARES Act can now roll the money back, says Ed Slott.