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.
FINRA Announces Reduced-Fee Mediation Program
By Melanie WaddellParties can use remote mediation at significantly reduced fees through Aug. 31.
May 04, 2020
FINRA Warns of Email Phishing ScamThe scam involves fraudulent emails that claim to be from FINRA officers.
May 04, 2020
SEC Gives Break on Crowdfunding Rules for Some Small FirmsThe relief is intended for established companies who may have an urgent need of funding during the pandemic.
May 04, 2020
IRS Blesses COLI Reinsurance Deal in a New RulingThe transaction involved private placement variable life contracts.
May 01, 2020
IRS Says No Double Tax Benefits From PPP LoansNew guidance from the IRS explains tax consequences of PPP loans that are forgiven.
May 01, 2020
Human Capital: Andy Friedman on Next Stimulus Bill's Potential Tax ProvisionsFriedman also talks about the timing of "CARES 2," as well as what's "heating up" in U.S.-China relations.
May 01, 2020
The Litigation Risks of the Care Obligation of SEC Reg BIHere are some best practices to mitigate those risks.
May 01, 2020
FINRA COVID-19 Fraud Task Force Has Referred 50 Potential Scams to SECFINRA has hired Greg Ruppert, formerly of Schwab, to spearhead its COVID-19 fraud task force.