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 Delays Tax Payment Deadline for 90 Days
By Melanie WaddellIndividuals can defer up to $1 million in tax payments; the administration is also considering direct payments.
March 13, 2020
FINRA Tweaks Suitability Rule to Address Reg BI ConflictsFINRA is also adjusting its noncash compensation rules.
March 12, 2020
SEC Gets Final Judgment Against Ex-Morgan Stanley, Wells Fargo RepThe former broker had pleaded guilty to swindling more than $1.6 million from customers.
March 11, 2020
SEC Rule on Variable Annuity Summary Prospectus Is FinalNew rule permits use of a concise, reader-friendly prospectus designed to improve investors' understanding of the contracts' features, fees and risks.
March 11, 2020
HSA-Compatible Plans Can Offer No-Deductible Covid-19 Care: IRSThe IRS has provided relief from the usual deductible requirements in Notice 2020-15.
March 11, 2020
GOP Lawmakers Back Reg BI in Court BattleThe rule "balances many competing considerations," they said in an amicus brief.
March 11, 2020
SEC Stops $39M Investment Scam by Florida AdvisorThe advisor bilked at least 30 investors in Florida and Puerto Rico, the SEC said.
March 10, 2020
FINRA Starts Reporting Data on Treasury Securities Trading VolumeMaking Treasury aggregate statistics available every week will add more transparency to the marketplace, it says.