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 Floats Updates to Income Tax Withholding Rules
By Melanie WaddellThe proposed regulations reflect changes tied to the 2017 tax overhaul and other legislation.
February 07, 2020
Ex-Rep for Morgan Stanley, Wells Fargo Sentenced to 30 Months for FraudThe former broker had pleaded guilty to swindling clients out of more than $1.6 million.
February 07, 2020
Human Capital: Ed Slott Tackles Thorniest Secure Act ProvisionsIn episode #8 of our Human Capital podcast, Slott jumps into the stretch IRA changes, and why the law sets up an "emergency estate planning revision."
February 06, 2020
FINRA's Website Experiencing Search ProblemsFINRA says of its website that it has "more work to do, and that work remains well underway."
February 06, 2020
SEC Issues Warning on Coronavirus Investment ScamsWatch out for pump-and-dump scammers claiming their products cure or prevent the virus, the SEC says.
February 05, 2020
IRS Needs a Major Tech Overhaul, Groups SayTax professionals have some suggestions for the IRS' upcoming reorganization.
February 04, 2020
CFP Board Elects 2 DirectorsOne was the first female SEC commissioner; the other is a chief of financial crimes compliance.
February 04, 2020
3 Areas Regulators Are Targeting Now, According to LawyersReg BI enforcement, a sweep of 403(b) sales to teachers, and regs to implement the Secure Act take center stage this year.