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.
IRS Extends More Filing Deadlines to July 15
By Janet LevauxThe IRS also shares guidance on tax relief under the CARES Act for those with net operating losses.
April 07, 2020
FINRA Presses Ahead With Bad-Broker CrackdownThe plan would allow a hearing officer to require a BD to adopt heightened supervision for brokers with long disciplinary histories.
April 07, 2020
SEC Releases Exam Schedules for Reg BI, Form CRSHere's what SEC examiners will look for in the year after the June 30 compliance date.
April 06, 2020
IRS Warns: Scammers Drooling Over Stimulus ChecksOne red flag is use of the term "stimulus check" instead of "economic impact payment."
April 03, 2020
Human Capital: ERISA Expert Fred Reish on Market Volatility, Stimulus PlanIn episode No. 12 of our podcast, we talk with popular ERISA attorney Fred Reish of Faegre Drinker Biddle & Reath.
April 02, 2020
FINRA Suspends Ex-Morgan Stanley Rep for Misusing Expense AccountThe advisor lent funds from her Automated Flexible Grid account to another employee, FINRA says.
April 02, 2020
FINRA Bars Ex-LPL Rep Over 'Reckless Misrepresentations'The former broker signed seven loan agreements for a client without the firm's authorization, FINRA says.
April 02, 2020
SEC Won't Extend Reg BI, Form CRS Compliance DateFirms facing disruptions due to COVID-19 "should engage with us," SEC chief Jay Clayton said.