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.
Envestnet, CSS Launch Reg BI Tool for RIAs and BDs
By Jeff BermanThe software pulls data from a firm's SEC and FINRA filings to complete Form CRS.
March 24, 2020
IRS Releases FAQ on Tax Deadline ExtensionsIn particular, the deadline for 2019 IRA contributions has also been extended.
March 24, 2020
Ex-Rep Wins FINRA Arb Case Against Morgan StanleyBut the award was much lower than what the broker had sought.
March 23, 2020
FINRA Extends Exam Window, Annual Report FilingFINRA recently released a FAQ in light of the coronavirus pandemic.
March 20, 2020
Human Capital: FrontLine Compliance's Lynch Details Regulatory Relief Due to CoronavirusIn episode #11 of our podcast, Amy Lynch talks about SEC and FINRA regulatory relief as the coronavirus wreaks havoc.
March 19, 2020
FINRA Bars Ex-Kestra Rep Who Refused to Testify in His Fraud CaseThe ex-broker was suspected of making fraudulent and unauthorized transactions in customers' accounts, the regulator says.
March 18, 2020
CPA Group Calls on Treasury, IRS to Extend Tax Filing Deadline"It is impossible for every taxpayer and their tax adviser to prepare returns in this environment," said AICPA's president.
March 17, 2020
FINRA Suspends Ex-Merrill Rep for Cheating on Exams TwiceThe ex-broker was caught with notes during two separate industry exams less than a month apart, the regulator says.