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.
SEC Commissioner Robert Jackson to Depart
By Melanie WaddellThe Democratic commissioner will leave his post on Feb. 14.
January 15, 2020
FINRA Seeks Comments on Rule Requiring Complaints, Arb Claim ReportsFINRA is seeking comments on which data BDs should be required to report.
January 13, 2020
SEC Releases FAQ on Reg BI ComplianceThe FAQ states that Form CRS will not satisfy a broker's Regulation Best Interest disclosure obligations and sets out which products are covered by the rule.
January 12, 2020
ACA Premium Tax Credit Problem Reports Drop: IRS AdvocateThe federal Taxpayer Advocate Service helped fewer people with Affordable Care Act premium tax credit problems in federal fiscal year 2019 than in…
January 10, 2020
Retail Investors Overwhelmingly Support Proposed SEC Proxy Changes: SurveyA market research group found that most of the SEC's proposed changes are supported by more than 70% of investors.
January 10, 2020
Human Capital: Brian Hamburger Details Critical Aspects of SEC's 2020 Exam PrioritiesIn episode #6 of our Human Capital podcast, Brian Hamburger, CEO of MarketCounsel, digs into the SEC and other enforcement issues.
January 10, 2020
FINRA's Top 5 Exam Priorities in 2020Reg BI and Form CRS compliance is Job No. 1. But it isn't the regulator's only focus.
January 09, 2020
SEC Wins Fraud Judgment Against Ex-Rep Who Defrauded 3 RetireesThe rep was accused of using client money to pay for a luxury car, a vacation and other expenses.